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Rent Regulation
Services Unit 2016-2021
LOCAL 1359
BETWEEN
THE STATE OF NEW YORK
AND
RENT REGULATION SERVICES
UNIT EMPLOYEES
DISTRICT COUNCIL 37
AFSCME, AFL-CIO
TABLE OF CONTENTS
Rent Regulation Services Unit
ARTICLE 1 Recognition ...................................................1
ARTICLE 2 Statement of Policy and Purpose ................1
ARTICLE 3 Unchallenged Representation .....................2
ARTICLE 4 Employee Organization Rights ...................2
§4.1 Exclusive Negotiations with DC-37 .....................2
§4.2 Payroll Deductions ................................................2
§4.3 Bulletin Boards .....................................................3
§4.4 Meeting Space .......................................................3
§4.5 Access to Employees ............................................4
§4.6 Lists of Employees ................................................4
§4.7 Employee Organization Leave ..............................4
§4.8 Union Leave ..........................................................5
§4.9 Leave of Absence Information..............................5
ARTICLE 5 Management Rights .....................................6
ARTICLE 6 No Strikes .....................................................6
ARTICLE 7 Compensation ...............................................7
§7.1 Salary Increase for Fiscal Year 2019-2020 .............7
§7.2 Five and Ten Year Longevity Advances for
Fiscal Year 2016-2017 .....................................................7
§7.3 Salary Increase for Fiscal Year 2017-2018 .............9
§7.4 Five and Ten Year Longevity Advances for
Fiscal Year 2017-2018 .................................................... 9
§7.5 Salary Increase for Fiscal Year 2018-2019 .......... 11
§7.6 Five and Ten Year Longevity Advances for
Fiscal Year 2018-2019 .................................................. 11
§7.7 Salary Increase for Fiscal Year 2019-2020 ........ 13
§7.8 Five and Ten Year Longevity Advances for
Fiscal Year 2019-2020 .................................................. 13
§7.9 Salary Increase for Fiscal Year 2020-2021 ........ 15
§7.10 Five, Ten, and Fifteen Year Longevity Advances
for Fiscal Year 2020-2021 ............................................. 15
§7.11 Performance Advance System ............................ 18
§7.12 Promotions .......................................................... 18
§7.13 Applicability ....................................................... 19
§7.14 Recall and Inconvenience Pay ............................ 19
§7.15 Downstate Adjustment ....................................... 20
§7.16 Holiday Pay ........................................................ 20
§7.17 Lag Payroll, Salary Deferral ............................... 20
§7.18 Payment above the Job Rate ............................... 21
ARTICLE 8 Payroll ........................................................ 21
§8.1 Computation on 10-Day Basis ........................... 21
§8.2 Deductions for Employee Credit Unions ........... 22
§8.3 Payroll Statements .............................................. 22
§8.4 Distribution of Salary Payments ......................... 22
ARTICLE 9 Health Insurance ....................................... 22
§9.1 Continuation ........................................................22
§9.2 Eligibility ............................................................22
§9.3 Enrollment...........................................................26
§9.4 Empire Plan Premium .........................................26
§9.5 Empire Plan Benefits Management Program ......27
§9.6 Empire Plan Hospital Program ...........................28
§9.7 Empire Plan Medical Program ............................30
§9.8 Empire Plan Home Care Advocacy Program .....35
§9.9 Empire Plan Managed Physical Medicine
Program ..........................................................................35
§9.10 Empire Plan Disease Management Programs .....36
§9.11 Empire Plan Centers of Excellence.....................36
§9.12 Empire Plan Managed Mental Health
and Substance Abuse .....................................................37
§9.13 Empire Plan Prescription Drug Program ............39
§9.14 Health Maintenance Organization (HMO)
Option ............................................................................40
§9.15 Option Transfer Period .......................................41
§9.16 Medical Flexible Spending Account ...................42
§9.17 Joint Committee on Health Benefits ...................42
§9.18 Department of Civil Service Assistance ..............44
§9.19 Workers’ Compensation - Health Insurance .......44
§9.20 Confidentiality ....................................................45
ARTICLE 10 Employee Benefit Fund ...........................45
ARTICLE 11 Employee Development and Training ... 46
ARTICLE 12 Attendance and Leave............................. 47
§12.1 Holiday Observance ........................................... 47
§12.2 Holiday Accrual ................................................. 48
§12.3 Additional Vacation Credit ................................ 48
§12.4 Annual Leave Accumulation .............................. 49
§12.5 Vacation Scheduling ........................................... 49
§12.6 Vacation Use ...................................................... 50
§12.7 Sick Leave Accumulation .................................. 50
§12.8 Use of Sick Leave ............................................... 51
§12.9 Personal Leave Accumulation ............................ 51
§12.10 Use of Personal Leave ................................. 52
§12.11 Accounting of Time Accruals and
Time Worked…………………………………………..52
§12.12 Absence - Extraordinary Circumstances ..... 52
§12.13 Tardiness for Members of Volunteer Fire
Departments, Volunteer Ambulance Services, Enrolled
Civil Defense and Civil Air Patrol Volunteers .............. 52
§12.14 Leave for Bereavement or Family Illness ... 53
§12.15 Part-Time, Per Diem and Hourly
Employees…. ................................................................ 53
§12.16 Sick Leave at Half-Pay ................................ 54
§12.17 Leave for Professional Meetings ................. 55
§12.18 Doctor's Certificates .................................... 55
§12.19 Voluntary Reduction in Work Schedule ..... 56
§12.20 Productivity Enhancement Program ............56
§12.21 Maternity and Child Rearing Leave .............57
ARTICLE 13 Workers' Compensation Benefit ............57
ARTICLE 14 Verification of Doctor's Statement .........61
ARTICLE 15 Travel and Relocation Expenses ............62
§15.1 Per Diem Meal and Lodging Expenses ...............62
§15.2 Mileage Allowance .............................................62
§15.3 Extended Travel ..................................................62
§15.4 Relocation Expenses ...........................................63
§15.5 Travel Determinations .........................................63
ARTICLE 16 Overtime Meal Allowances .....................63
ARTICLE 17 Staffing ......................................................64
§17.1 Eligible Lists .......................................................64
§17.2 Alternate Examination Dates ..............................64
§17.3 Leave - Probationary Employees ........................64
ARTICLE 18 Out-of-Title Work ....................................65
ARTICLE 19 Working Conditions - Safety ..................68
ARTICLE 20 Review of Personal History Folder ........68
ARTICLE 21 Protection of Employees ..........................69
ARTICLE 22 Layoffs in Non-Competitive Class ..........71
ARTICLE 23 Labor/Management Meetings.................72
ARTICLE 24 Distribution of Directives, Bulletins or
Instructions .......................................................................73
ARTICLE 25 Emergency First Aid ...............................73
ARTICLE 26 No Discrimination ................................... 73
ARTICLE 27 Seniority ................................................... 74
§27.1 Definition ............................................................ 74
§27.2 Application ......................................................... 74
§27.3 Seniority Lists ..................................................... 74
ARTICLE 28 Workday and Workweek ....................... 75
ARTICLE 29 Indemnification ....................................... 76
ARTICLE 30 Credit Union Space ................................. 77
ARTICLE 31 Grievance and Arbitration Procedure .. 78
§31.1 Definition of Grievance ...................................... 78
§31.2 Requirements for Filing Contract Grievances .... 78
§31.3 Representation .................................................... 79
§31.4 Grievance Steps .................................................. 79
§31.5 Procedures Applicable to Grievance Steps ........ 81
ARTICLE 32 Resignation............................................... 83
ARTICLE 33 Discipline .................................................. 85
§33.1 Applicability ....................................................... 85
§33.2 Purpose ............................................................... 85
§33.3 Employee Rights ................................................ 85
§33.4 Suspension or Temporary Reassignment
Before Notice of Discipline ........................................... 87
§33.5 Disciplinary Procedure ....................................... 90
§33.6 Settlements ......................................................... 95
§33.7 Definitions .......................................................... 95
§33.8 Timeliness ...........................................................95
§33.9 Time Limits .........................................................95
§33.10 Time and Attendance Disciplinary
Procedures ……………………………………………..96
ARTICLE 34 Reimbursement for Property
Damage............................................................................100
ARTICLE 35 Accidental Death Benefit .......................100
ARTICLE 36 Employee Assistance Program /
Work-Life Services Programs ......................................101
ARTICLE 37 (Intentionally left blank) ......................103
ARTICLE 38 Job Classifications .................................103
ARTICLE 39 Benefits Guaranteed ..............................103
ARTICLE 40 Severability .............................................103
ARTICLE 41 Printing of Agreement ...........................104
ARTICLE 42 Approval of the Legislature ..................104
ARTICLE 43 Duration of Agreement..........................105
APPENDIX A – Salary Schedules ................................106
APPENDIX B - ARTICLE 21 Protection of
Employees .......................................................................111
A. REDEPLOYMENT PROCESS AND
PROCEDURES............................................................111
B. EDUCATION STIPEND ........................................116
C. SEVERANCE OPTION ..........................................117
APPENDIX C - Leave Donation ...................................122
APPENDIX D - Productivity Enhancement
Program….. ................................................................... 125
APPENDIX E - Voluntary Reduction in Work
Schedule .......................................................................... 128
RENT REGULATION SERVICES UNIT AGREEMENT
Agreement made by and between the Executive Branch of the State
of New York ("State") and District Council 37, American Federation
of State, County and Municipal Employees, AFL-CIO ("DC-37").
ARTICLE 1 Recognition
The State recognizes District Council 37, American Federation of
State, County and Municipal Employees, AFL-CIO as the exclusive
representative for collective negotiations with respect to salaries,
wages, hours and other terms and conditions of employment of
employees serving in positions in the Rent Regulation Services Unit.
The terms "employee" or "employees" as used in this Agreement shall
mean only employees serving in positions in such unit and shall
include seasonal employees in such positions where so specified.
ARTICLE 2 Statement of Policy and Purpose
§2.1
It is the policy of the State to continue harmonious and cooperative
relationships with its employees and to insure the orderly and
uninterrupted operations of government. This policy is effectuated by
the provisions of the Public Employees' Fair Employment Act granting
public employees the rights of organization and collective
representation concerning the determination of the terms and
conditions of their employment.
§2.2
The State and DC-37 now desire to enter into an agreement
reached through collective negotiations which will have for its
purposes, among others, the following:
(a) To recognize the legitimate interests of the employees of the
State to participate through collective negotiations in the determination
of the terms and conditions of their employment.
(b) To promote fair, safe and reasonable working conditions.
(c) To promote individual efficiency and service to the citizens of
1
the State.
(d) To avoid interruption or interference with the efficient
operation of the State's business.
(e) To provide a basis for the adjustment of matters of mutual
interest by means of amicable discussion.
ARTICLE 3 Unchallenged Representation
The State and DC-37 agree, pursuant to Section 208 of the Civil
Service Law, that DC-37 shall have unchallenged representation status
for the maximum period permitted by law on the date of execution of
this Agreement.
ARTICLE 4 Employee Organization Rights
§4.1 Exclusive Negotiations with DC-37
The State will not negotiate or meet with any other employee
organization with reference to terms and conditions of employment of
employees. When such organizations, whether organized by the
employer or employees, request meetings, they will be advised by the
State to transmit their requests concerning terms and conditions of
employment to DC-37 and arrangements will be made by DC-37 to
fulfill its obligation as a collective negotiating agent to represent these
employees and groups of employees.
§4.2 Payroll Deductions
(a) DC-37 shall have exclusive payroll deduction of membership
dues and premiums for group insurance and mass-merchandised
automobile and homeowners' and other insurance policies sponsored
by DC-37 for employees and no other employee organization shall be
accorded any such payroll deduction privilege.
(b) The State shall prepare, secure introduction and recommend
passage by the Legislature of such legislation as may be appropriate
and necessary to provide to DC-37 exclusive payroll deduction for all
unit employees who elect to participate in the AFSCME program
known as "Public Employees Organized for Political and Legislative
Equality."
2
§4.3 Bulletin Boards
(a) The State shall provide a reasonable amount of exclusive
bulletin board space in an accessible place in each area occupied by a
substantial number of employees for the purpose of posting bulletins,
notices and material issued by DC-37, which shall be signed by the
designated official of DC-37 or its appropriate division. No such
material shall be posted which is profane or obscene, or defamatory of
the State or its representatives, or which constitutes election campaign
material for or against any person, organization or faction thereof. No
other employee organization except employee organizations which
have been certified or recognized as the representative for collective
negotiations of other State employees employed at such locations shall
have the right to post material upon State bulletin boards.
(b) The number and location of bulletin boards as well as
arrangements with reference to placing material thereon and removing
material therefrom shall be subject to mutual understandings at the
departmental or agency level, provided, however, that any
understanding reached with respect thereto shall provide for the
removal of any bulletin or material objected to by the State which
removal may be contested pursuant to the contract grievance procedure
provided for herein.
§4.4 Meeting Space
(a) Where there is appropriate available meeting space in buildings
owned or leased by the State, it shall be offered to DC-37 from time to
time for specific meetings provided that (1) DC-37 agrees to reimburse
the State for any additional expense incurred in the furnishing of such
space, and (2) request for the use of such space is made in advance,
pursuant to rules of the department or agency concerned.
(b) No other employee organization, except employee
organizations which have been certified or recognized as the
representative for collective negotiations of other State employees,
shall have the right to meeting space in State facilities.
(c) Where appropriate space is available the State shall provide
such space at State facilities for the conduct of DC-37 division
elections, provided that the conduct of such elections will not interfere
with normal State operations. Arrangements for such space shall be
3
subject to mutual understandings at the departmental or agency level.
§4.5 Access to Employees
(a) DC-37 representatives shall, on an exclusive basis, have access
to employees during working hours to explain DC-37 membership,
services and programs under mutually developed arrangements with
department or agency heads. Any such arrangements shall insure that
such access shall not interfere with work duties or work performance.
Such consultations shall be no more than 15 minutes per employee per
month, and shall not exceed an average of ten (10) percent per month
of the employees in the operating unit (e.g., main office or appropriate
facility) where access is sought.
(b) Department and agency heads may make reasonable and
appropriate arrangements with DC-37 whereby it may advise
employees of the additional availability of DC-37 representatives for
consultations during non-working hours concerning DC-37
membership, services and programs.
§4.6 Lists of Employees
The State, at its expense, shall furnish the President of DC-37
Local 1359, on at least a quarterly basis, information showing the
name, address, unit designation, social security number and payroll
agency of all new employees and any current employee whose payroll
agency or address has changed during the period covered by the report.
§4.7 Employee Organization Leave
(a) Reasonable numbers of DC-37 designees will be granted
reasonable amounts of Employee Organization Leave to participate in
meetings of joint labor/management committees, the conduct of
negotiations for a successor agreement, and the representation of
employees in the grievance procedure, with no charge to the
employees' leave credits. The use of such leave will be contingent on
the submission of requests in advance, and shall be granted to the
extent the resulting absences will not unreasonably interfere with an
agency's operations. Reasonable and actual travel time in connection
with such leave shall also be granted, subject to the same limitation
and subject to a maximum of five (5) hours each way for any meeting.
4
Leave for contract negotiations or for labor/management
committees pursuant to this provision shall be granted only to
employees in this unit designated in advance by DC-37 and approved
by the Director of Employee Relations; leave for grievance
representation pursuant to this provision shall be granted only to
persons designated for this purpose by DC-37 in a listing of authorized
grievance representatives furnished quarterly by DC-37 to the Director
of the Governor's Office of Employee Relations.
(b) The State shall grant a total of seven days of Employee
Organization Leave during each year of this Agreement for use by up
to five designees of DC-37 for attendance at DC-37 board or
committee meetings or other internal DC-37 business. Such leave shall
be granted to the designee(s) of DC-37 on the dates specified by DC-
37 to the extent that resulting absences will not unreasonably interfere
with an agency's operations. Procedures for the advance request of
such leave and for the recording of such leave shall be as mutually
agreed by DC-37 and the Director of the Governor's Office of
Employee Relations.
(c) Effective January 1, 2005, the State shall grant Employee
Organization Leave for one delegate meeting in each year of this
Agreement. Such Employee Organization Leave shall be limited to
five (5) days for up to five (5) people.
(d) Under special circumstances, and upon advance request,
additional Employee Organization Leave may be granted by the
Director of Employee Relations.
§4.8 Union Leave
Upon the request of the President of DC-37 and the employee(s),
and the approval of the Director of the Governor's Office of Employee
Relations, an employee or employees may be granted leave of absence
with full pay to engage in DC-37 activities in accordance with the
provisions of Section 46 of Chapter 283 of the Laws of 1972.
§4.9 Leave of Absence Information
The State shall provide an employee who is going on an authorized
leave of absence with information regarding continuation of coverage
under the State's Health and Dental Insurance Programs during such
5
leave. The State shall also provide to such employee a memorandum
prepared by DC-37 regarding necessary payments for DC-37 dues and
insurance premiums during such leave.
ARTICLE 5 Management Rights
Except as expressly limited by other provisions of this Agreement,
all of the authority, rights and responsibilities possessed by the State
are retained by it, including, but not limited to, the right to determine
the mission, purposes, objectives and policies of the State; to determine
the facilities, methods, means and number of personnel required for
conduct of State programs; to administer the Merit System, including
the examination, selection, recruitment, hiring, appraisal, training,
retention, promotion, assignment or transfer of employees pursuant to
law; to direct, deploy and utilize the work force, to establish
specifications for each class of positions and to classify or reclassify
and to allocate or reallocate new or existing positions in accordance
with law; and to discipline or discharge employees in accordance with
law and the provisions of this Agreement.
ARTICLE 6 No Strikes
§6.1
DC-37 shall not engage in a strike, nor cause, instigate, encourage
or condone a strike.
§6.2
DC-37 shall exert its best efforts to prevent and terminate any
strike.
§6.3
Nothing contained in this Agreement shall be construed to limit the
rights, remedies or duties of the State or the rights, remedies or duties
of DC-37 or employees under State law.
6
ARTICLE 7 Compensation
The State and DC-37 shall prepare, secure introduction and
recommend passage by the Legislature of such legislation as may be
appropriate and necessary to provide the benefits described below:
§7.1 Salary Increase for Fiscal Year 2019-2020
Effective April 7, 2016 for employees on the Administration
payroll, a new salary schedule shall be established which shall consist
of a hiring rate and a job rate for grades 1 through 32. The hiring rates
shall be the hiring rates of the salary schedule in effect on April 6,
2016 increased by two (2.0) percent. Employees whose salaries were at
the hiring rate, any of the six steps, or the job rate immediately prior to
the increase in the schedule shall be accorded the benefit of the two
(2.0) percent increase by receiving a salary equal to the new hiring
rate, corresponding step, or job rate, respectively, as provided on
April 7, 2016.
§7.2 Five and Ten Year Longevity Advances for
Fiscal Year 2016-2017
(a) Eligibility
(1) Each employee who as of March 31, 2016, has completed five
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive a
five-year longevity payment in April 2016 or as soon as practicable.
(2) Each employee who completes five years or more of
continuous service between April 1, 2016 and September 30, 2016 as
defined by Section 130.3(c) of the Civil Service Law at a basic annual
salary rate equal to or higher than the job rate of the employee's salary
grade, and has attained a performance rating of "satisfactory" or its
equivalent, shall receive a five-year longevity payment in October
2016 or as soon as practicable.
(3) Each employee who as of March 31, 2016, has completed ten
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
7
performance rating of "satisfactory" or its equivalent, shall receive
both a five year longevity payment and a ten year longevity payment in
April 2016 or as soon as practicable.
(4) Each employee who completes ten years or more of continuous
service between April 1, 2016 and September 30, 2016 as defined by
Section 130.3(c) of the Civil Service Law at a basic annual salary rate
equal to or higher than the job rate of the employee's salary grade, and
has attained a performance rating of "satisfactory" or its equivalent,
shall receive both a five year longevity payment and a ten year
longevity in October 2016 or as soon as practicable.
(b) Longevity Payments
(1) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,250 each for employees in full-time
status as of March 31, 2016 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (1) and (3) above, and shall be
paid in April 2016 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $2,500.
(2) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,250 each for employees in full-time
status as of September 30, 2016 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (2) and (4) above, and shall be
paid in October 2016 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $2,500.
(c) Employees on Leave
(1) Employees otherwise eligible to receive longevity payments
who, on the March 31 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the March 31 eligibility date,
be eligible for such payment in full if in full-time status immediately
prior to such leave or shall be eligible for a pro rata share of such
payment if in part-time employment status immediately prior to such
leave.
(2) Employees otherwise eligible to receive longevity payments
8
who, on the September 30 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the September 30 eligibility
date, be eligible for such payment in full if in full-time status
immediately prior to such leave or shall be eligible for a pro rata share
of such payment if in part-time employment status immediately prior
to such leave.
§7.3 Salary Increase for Fiscal Year 2017-2018
Effective April 6, 2017 for employees on the Administration
payroll, a new salary schedule shall be established which shall consist
of a hiring rate and a job rate for grades 1 through 32. The hiring rates
shall be the hiring rates of the salary schedule in effect on April 5,
2017 increased by two (2.0) percent. Employees whose salaries were at
the hiring rate, any of the six steps, or the job rate immediately prior to
the increase in the schedule shall be accorded the benefit of the two
(2.0) percent increase by receiving a salary equal to the new hiring
rate, corresponding step, or job rate, respectively, as provided on
April 6, 2017.
§7.4 Five and Ten Year Longevity Advances for
Fiscal Year 2017-2018
(a) Eligibility
(1) Each employee who as of March 31, 2017, has completed five
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive a
five year longevity payment in April 2017 or as soon as practicable.
(2) Each employee who completes five years or more of
continuous service between April 1, 2017 and September 30, 2017 as
defined by Section 130.3(c) of the Civil Service Law at a basic annual
salary rate equal to or higher than the job rate of the employee's salary
grade, and has attained a performance rating of "satisfactory" or its
equivalent, shall receive a five year longevity payment in October
2017 or as soon as practicable.
(3) Each employee who as of March 31, 2017, has completed ten
9
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive
both a five year longevity payment and a ten year longevity payment in
April 2017 or as soon as practicable.
(4) Each employee who completes ten years or more of continuous
service between April 1, 2017 and September 30, 2017 as defined by
Section 130.3(c) of the Civil Service Law at a basic annual salary rate
equal to or higher than the job rate of the employee's salary grade, and
has attained a performance rating of "satisfactory" or its equivalent,
shall receive both a five year longevity payment and a ten year
longevity in October 2017 or as soon as practicable.
(b) Longevity Payments
(1) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,250 each for employees in full-time
status as of March 31, 2017 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (1) and (3) above, and shall be
paid in April 2017 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $2,500.
(2) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,250 each for employees in full-time
status as of September 30, 2017 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (2) and (4) above, and shall be
paid in October 2017 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $2,500.
(c) Employees on Leave
(1) Employees otherwise eligible to receive longevity payments
who, on the March 31 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the March 31 eligibility date,
be eligible for such payment in full if in full-time status immediately
prior to such leave or shall be eligible for a pro rata share of such
10
payment if in part-time employment status immediately prior to such
leave.
(2) Employees otherwise eligible to receive longevity payments
who, on the September 30 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the September 30 eligibility
date, be eligible for such payment in full if in full-time status
immediately prior to such leave or shall be eligible for a pro rata share
of such payment if in part-time employment status immediately prior
to such leave.
§7.5 Salary Increase for Fiscal Year 2018-2019
Effective April 5, 2018 for employees on the Administration
payroll, a new salary schedule shall be established which shall consist
of a hiring rate and a job rate for grades 1 through 32. The hiring rates
shall be the hiring rates of the salary schedule in effect on April 4,
2018 increased by two (2.0) percent. Employees whose salaries were at
the hiring rate, any of the six steps, or the job rate immediately prior to
the increase in the schedule shall be accorded the benefit of the two
(2.0) percent increase by receiving a salary equal to the new hiring
rate, corresponding step, or job rate, respectively, as provided on
April 5, 2018.
§7.6 Five and Ten Year Longevity Advances for
Fiscal Year 2018-2019
(a) Eligibility
(1) Each employee who as of March 31, 2018, has completed five
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive a
five year longevity payment in April 2018 or as soon as practicable.
(2) Each employee who completes five years or more of
continuous service between April 1, 2018 and September 30, 2018 as
defined by Section 130.3(c) of the Civil Service Law at a basic annual
salary rate equal to or higher than the job rate of the employee's salary
grade, and has attained a performance rating of "satisfactory" or its
11
equivalent, shall receive a five year longevity payment in October
2018 or as soon as practicable.
(3) Each employee who as of March 31, 2018, has completed ten
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive
both a five year longevity payment and a ten year longevity payment in
April 2018 or as soon as practicable.
(4) Each employee who completes ten years or more of continuous
service between April 1, 2018 and September 30, 2018 as defined by
Section 130.3(c) of the Civil Service Law at a basic annual salary rate
equal to or higher than the job rate of the employee's salary grade, and
has attained a performance rating of "satisfactory" or its equivalent,
shall receive both a five year longevity payment and a ten year
longevity in October 2018 or as soon as practicable.
(b) Longevity Payments
(1) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,250 each for employees in full-time
status as of March 31, 2018 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (1) and (3) above, and shall be
paid in April 2018 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $2,500.
(2) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,250 each for employees in full-time
status as of September 30, 2013 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (2) and (4) above, and shall be
paid in October 2018 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $2,500.
(c) Employees on Leave
(1) Employees otherwise eligible to receive longevity payments
who, on the March 31 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
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to active payroll status within one year of the March 31 eligibility date,
be eligible for such payment in full if in full-time status immediately
prior to such leave or shall be eligible for a pro rata share of such
payment if in part-time employment status immediately prior to such
leave.
(2) Employees otherwise eligible to receive longevity payments
who, on the September 30 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the September 30 eligibility
date, be eligible for such payment in full if in full-time status
immediately prior to such leave or shall be eligible for a pro rata share
of such payment if in part-time employment status immediately prior
to such leave.
§7.7 Salary Increase for Fiscal Year 2019-2020
Effective April 4, 2019 for employees on the Administration
payroll, a new salary schedule shall be established which shall consist
of a hiring rate and a job rate for grades 1 through 32. The hiring rates
shall be the hiring rates of the salary schedule in effect on April 3,
2019 increased by two (2.0) percent. Employees whose salaries were at
the hiring rate, any of the six steps, or the job rate immediately prior to
the increase in the schedule shall be accorded the benefit of the two
(2.0) percent increase by receiving a salary equal to the new hiring
rate, corresponding step, or job rate, respectively, as provided on
April 4, 2019.
§7.8 Five and Ten Year Longevity Advances for
Fiscal Year 2019-2020
(a) Eligibility
(1) Each employee who as of March 31, 2019, has completed five
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive a
five year longevity payment in April 2019 or as soon as practicable.
(2) Each employee who completes five years or more of
continuous service between April 1, 2019 and September 30, 2019 as
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defined by Section 130.3(c) of the Civil Service Law at a basic annual
salary rate equal to or higher than the job rate of the employee's salary
grade, and has attained a performance rating of "satisfactory" or its
equivalent, shall receive a five year longevity payment in October
2019 or as soon as practicable.
(3) Each employee who as of March 31, 2019, has completed ten
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive
both a five year longevity payment and a ten year longevity payment in
April 2019 or as soon as practicable.
(4) Each employee who completes ten years or more of continuous
service between April 1, 2019 and September 30, 2019 as defined by
Section 130.3(c) of the Civil Service Law at a basic annual salary rate
equal to or higher than the job rate of the employee's salary grade, and
has attained a performance rating of "satisfactory" or its equivalent,
shall receive both a five year longevity payment and a ten year
longevity in October 2019 or as soon as practicable.
(b) Longevity Payments
(1) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,500 each for employees in full-time
status as of March 31, 2019 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (1) and (3) above, and shall be
paid in April 2019 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $3,000.
(2) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,500 each for employees in full-time
status as of September 30, 2019 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (2) and (4) above, and shall be
paid in October 2019 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $3,000.
(c) Employees on Leave
(1) Employees otherwise eligible to receive longevity payments
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who, on the March 31 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the March 31 eligibility date,
be eligible for such payment in full if in full-time status immediately
prior to such leave or shall be eligible for a pro rata share of such
payment if in part-time employment status immediately prior to such
leave.
(2) Employees otherwise eligible to receive longevity payments
who, on the September 30 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the September 30 eligibility
date, be eligible for such payment in full if in full-time status
immediately prior to such leave or shall be eligible for a pro rata share
of such payment if in part-time employment status immediately prior
to such leave.
§7.9 Salary Increase for Fiscal Year 2020-2021
Effective April 2, 2020 for employees on the Administration
payroll, a new salary schedule shall be established which shall consist
of a hiring rate and a job rate for grades 1 through 32. The hiring rates
shall be the hiring rates of the salary schedule in effect on April 1,
2020 increased by two (2.0) percent. Employees whose salaries were at
the hiring rate, any of the six steps, or the job rate immediately prior to
the increase in the schedule shall be accorded the benefit of the two
(2.0) percent increase by receiving a salary equal to the new hiring
rate, corresponding step, or job rate, respectively, as provided on
April 2, 2020.
§7.10 Five, Ten, and Fifteen Year Longevity Advances for
Fiscal Year 2020-2021
(a) Eligibility
(1) Each employee who as of March 31, 2020, has completed five
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive a
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five year longevity payment in April 2020 or as soon as practicable.
(2) Each employee who completes five years or more of
continuous service between April 1, 2020 and September 30, 2020 as
defined by Section 130.3(c) of the Civil Service Law at a basic annual
salary rate equal to or higher than the job rate of the employee's salary
grade, and has attained a performance rating of "satisfactory" or its
equivalent, shall receive a five year longevity payment in October
2020 or as soon as practicable.
(3) Each employee who as of March 31, 2020, has completed ten
years or more of continuous service as defined by Section 130.3(c) of
the Civil Service Law at a basic annual salary rate equal to or higher
than the job rate of the employee's salary grade, and has attained a
performance rating of "satisfactory" or its equivalent, shall receive
both a five year longevity payment and a ten year longevity payment in
April 2020 or as soon as practicable.
(4) Each employee who completes ten years or more of continuous
service between April 1, 2020 and September 30, 2020 as defined by
Section 130.3(c) of the Civil Service Law at a basic annual salary rate
equal to or higher than the job rate of the employee's salary grade, and
has attained a performance rating of "satisfactory" or its equivalent,
shall receive both a five year longevity payment and a ten year
longevity in October 2020 or as soon as practicable.
(5) Each employee who as of March 31, 2020, has completed
fifteen years or more of continuous service as defined by Section
130.3(c) of the Civil Service Law at a basic annual salary rate equal to
or higher than the job rate of the employee's salary grade, and has
attained a performance rating of "satisfactory" or its equivalent, shall
receive a five year, ten year, and fifteen year longevity payment in
April 2020 or as soon as practicable.
(6) Each employee who completes fifteen years or more of
continuous service between April 1, 2020 and September 30, 2020 as
defined by Section 130.3(c) of the Civil Service Law at a basic annual
salary rate equal to or higher than the job rate of the employee's salary
grade, and has attained a performance rating of "satisfactory" or its
equivalent, shall receive a five year, ten year, and fifteen year
longevity in October 2020 or as soon as practicable.
(b) Longevity Payments
(1) Longevity payments shall be lump-sum, non-recurring
16
payments in the amount of $1,500 each for employees in full-time
status as of March 31, 2020 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (1) and (3) above, and shall be
paid in April 2020 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $3,000. The lump-sum payment for
employees eligible to receive a five year, ten year and fifteen year
longevity payment shall be $4,500.
(2) Longevity payments shall be lump-sum, non-recurring
payments in the amount of $1,500 each for employees in full-time
status as of September 30, 2020 or a pro rata share of that amount for
employees in part-time employment status on that date, who meet the
eligibility requirements as stated in (a) (2) and (4) above, and shall be
paid in October 2020 or as soon as practicable. The lump-sum payment
for employees eligible to receive both a five year and a ten year
longevity payment shall be $3,000. The lump-sum payment for
employees eligible to receive a five year, ten year and fifteen year
longevity payment shall be $4,500.
(c) Employees on Leave
(1) Employees otherwise eligible to receive longevity payments
who, on the March 31 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the March 31 eligibility date,
be eligible for such payment in full if in full-time status immediately
prior to such leave or shall be eligible for a pro rata share of such
payment if in part-time employment status immediately prior to such
leave.
(2) Employees otherwise eligible to receive longevity payments
who, on the September 30 eligibility date, are on authorized leave of
absence without pay (preferred list, military leave, workers.
compensation leave, or approved leave of absence) shall, if they return
to active payroll status within one year of the September 30 eligibility
date, be eligible for such payment in full if in full-time status
immediately prior to such leave or shall be eligible for a pro rata share
of such payment if in part-time employment status immediately prior
to such leave.
17
§7.11 Performance Advance System
(a) The performance advance system in effect on April 1, 2007
shall continue in effect for the term of this Agreement. This
performance advance system shall continue to be based on a
performance evaluation system developed and administered by the
State. The performance advance system shall provide for movement
from the hiring rate to the job rate of the grade on the salary schedule
at the rate of one performance advance or increment upon completion
of each year of service in grade for which the performance was
evaluated as higher than "unsatisfactory" or the equivalent.
(b) Performance advances shall be payable only to employees
holding annual salaried positions that are allocated to or equated with
salary grades. No employee's salary shall be increased above the job
rate of the grade to which the employee's position is allocated or
equated as a result of a performance advance.
(c) Performance advances will be payable to eligible employees on
April 1 of the fiscal year immediately following completion of each
year of service in grade. Performance advances for Steps 1 through 6
shall be equal to the step increase as identified in the salary schedule
applicable to the grade. Performance advances to the job rate shall be
equal to the job rate increase as identified in the salary schedule
applicable to the grade.
(d) Effective April 1, 1999, employees hired or promoted on or
after April 2 and through October 1 will have an increment anniversary
date of October 1. Employees hired or promoted on or after October 2
through April 1 will have an April 1 increment anniversary date. All
hired or promoted employees will be required to serve at least one year
before receiving their increment. Once the increment is received,
subsequent increments will begin on the appropriate anniversary date
of either October 1 or April 1. The creation of a second increment
anniversary date will continue the practice that all employees will
serve at least one year before the increment is paid but no employee
will wait longer than one and one-half years.
§7.12 Promotions
(a) Employees who are promoted, or otherwise advanced to a
higher salary grade will be paid at the hiring rate of the higher grade or
18
will receive a percentage increase in basic annual salary determined as
indicated below, whichever results in a higher salary. Effective April
1, 2020, for purposes of determining the basic annual salary of an
employee, basic annual salary shall mean an employee’s current salary
plus any lump sum longevities received in the 12 months preceding the
promotion.
For a Promotion of: An Increase of:
1 grade 3.0 %
2 grades 4.5 %
3 grades 6.0 %
4 grades 7.5 %
5 grades 9.0 %
(b) Reallocations and Reclassifications
Employees in positions which are reallocated or reclassified to a
higher salary grade will receive an increase in pay determined in the
same manner as described for promotions except that in the event of
reallocation, the new salary shall not exceed the second longevity step.
§7.13 Applicability
(a) Sections 7.4 and 7.6 above shall apply on a pro rata basis to
employees paid on an hourly or per diem basis or on any basis other
than at an annual rate, or to employees paid on a part-time basis. Such
sections shall not apply to employees paid on a fee schedule.
(b) Sections 7.1, 7.2, 7.3., 7.5, 7.7, and 7.9 shall apply on a pro rata
basis as appropriate to employees paid on an hourly or per diem basis
or on any basis other than at an annual rate, or to employees paid on a
part-time basis. The above provisions shall not apply to employees
paid on a fee schedule.
§7.14 Recall and Inconvenience Pay
The present recall and inconvenience pay programs will be
continued.
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§7.15 Downstate Adjustment
Eligible employees in New York City, Nassau, Rockland, Suffolk
and Westchester Counties will receive a Downstate Adjustment in
addition to their basic annual salary. Effective October 1, 2008 the
amount of the Downstate Adjustment shall be $3,026.
§7.16 Holiday Pay
(a) Any employee who is entitled to time off with pay on days
observed as holidays by the State as an employer will receive at the
employee’s option additional compensation for time worked on such
days or compensatory time off. Such additional compensation, except
as noted below, for each such full day worked will be at the rate of
1/10 of the employee’s bi-weekly rate of compensation. Such
additional compensation for less than a full day of such work will be
prorated. Such rate of compensation will include geographic, location,
inconvenience, shift pay and the downstate adjustment as may be
appropriate to the place or hours worked. In no event will an employee
be entitled to such additional compensation or compensatory time off
unless the employee has been scheduled or directed to work.
(b) An employee electing to take compensatory time off in lieu of
holiday pay shall notify the appropriate payroll agency in writing
between April 1 and June 15 in the first year of the Agreement of the
employee’s intention to do so with the understanding that such notice
constitutes a waiver for the term of this Agreement of the employee’s
right to receive additional compensation for holidays worked;
provided, however, that an employee shall have the opportunity to
revoke such waiver or file a waiver, if the employee has not already
done so, by notifying the appropriate payroll agency in writing
between April 1 and May 15 in the second, third and fourth year of this
Agreement of the employee’s revocation or waiver, in which event
such revocation or waiver shall remain in effect for the remainder of
the term of this Agreement.
§7.17 Lag Payroll, Salary Deferral
(a) Employees in this unit shall continue to be subject to a one
payroll period (two week) "lag" payroll. When employees leave State
service, their final salary check shall be issued at the end of the payroll
period next following the payroll period in which their service is
20
discontinued. This final salary check shall be paid at the employee's
then-current salary rate.
(b) The salary deferral program instituted by legislative action in
1990, and implemented in 1991, shall remain in effect. Employees
shall recover monies deferred under this program at the time they leave
State service, pursuant to the provisions of Chapter 947 of the Laws of
1990, as amended by Chapter 782 of the Laws of 1991. Employees
newly added to the payroll shall have five days of salary deferred
pursuant to the provisions of Chapter 947 of the Laws of 1990, as
amended by Chapter 782 of the Laws of 1991.
§7.18 Payment above the Job Rate
(a) An employee's salary may not exceed the job rate as a result of
the application of the provisions of Sections 7.4 and 7.6.
(b) For the purpose of the application of Sections 7.1, 7.2, 7.3, 7.5,
and 7.7, each employee whose basic annual salary on March 31, 1985
exceeded the job rate of the grade to which the employee's position
was allocated shall, on that date, be considered to have completed five
years of continuous service as defined by Section 130.3(c) of the Civil
Service Law at an annual salary rate higher than the job rate of the
grade of the position held by the employee on
March 31, 1985.
(c) During a period where no successor agreement is in place, an
employee who on or prior to expiration of the agreement has
completed or who after expiration completes either five, ten, or fifteen
years of continuous service, as defined by Section 130.3(c) of the Civil
Service Law, at a basic annual salary rate equal to or higher than the
job rate of the employee’s salary grade and has attained a performance
rating of “satisfactory” or equivalent, will receive the associated
longevity payment in either April or October following the date they
reach the eligible years of service.
ARTICLE 8 Payroll
§8.1 Computation on 10-Day Basis
Employees' salary payments will continue to be calculated on an
appropriate ten (10) working day basis.
21
§8.2 Deductions for Employee Credit Unions
(a) The State will deduct from the salary of an employee an
amount authorized in writing by such employee, within the minimum
and maximum amounts to be specified by the Comptroller, for
payments to bona fide credit unions for appropriate purposes and to
transmit the sum so deducted to such credit unions. Any such written
authorization may be withdrawn by such employee at any time upon
filing of written notice of such withdrawal with the Comptroller. Such
deductions shall be in accordance with rules and regulations of the
Comptroller not inconsistent with the law as may be necessary for the
exercise of his/her authority under this Section.
(b) Such rules and regulations may include requirements insuring
that computations and other appropriate clerical work shall be
performed by the credit union, limiting the frequency of changes in the
amount of payroll deductions, indemnifying the State and establishing
minimum membership standards so that payroll deductions are
practicable and feasible.
§8.3 Payroll Statements
The State will continue to provide the salary and deduction
information on payroll statements to employees paid through the
machine payroll procedure as is provided at the time of the execution
of this Agreement.
§8.4 Distribution of Salary Payments
All employees hired after ratification of this Agreement shall
receive salary payments through electronic funds transfer.
ARTICLE 9 Health Insurance
§9.1 Continuation
The State shall continue to provide all the forms and extent of
coverage as defined by the contracts in force on April 1, 2016 with the
State's health insurance carriers unless specifically modified or
replaced pursuant to this Agreement.
§9.2 Eligibility
The Pre-Tax Contribution Program will continue unless modified
or exempted by the Federal Tax Code.
There shall be a waiting period of 42 days after employment before
22
a new employee shall be eligible for enrollment under the State's
Health Insurance Program.
a. The State Health Insurance Plans' regulations shall continue to
stipulate that the term "employee" means any person in the service of
the State as employer whose regular work schedule is at least half-time
per biweekly payroll period.
b. Domestic Partners who meet the definition of a partner and can
provide acceptable proofs of financial interdependence as outlined in
the Affidavit of Domestic Partnership and Affidavit of Financial
Interdependence shall be eligible for health care coverage.
c. Seasonal employees who are anticipated to be or who are
continuously employed on at least a half-time basis for six (6) months
shall be eligible for health insurance coverage subject to the provisions
of the Agreement.
d. Where the State establishes a seasonal position for six (6)
months or more, the appointee to that position shall not have his/her
service intentionally broken solely for the purpose of rendering that
employee ineligible for health insurance coverage.
e. Should a seasonal employee who attained health insurance
coverage eligibility leave the payroll and then be rehired subsequently,
the employee shall retain eligibility for health insurance coverage upon
rehire without application of a six-month waiting period, provided the
employee was not off the payroll more than three months. The
employee may continue his/her health insurance on a full pay basis for
the period of time he/she is off the payroll.
f. Continued health insurance coverage will be provided for the
unremarried spouse and other eligible dependents of employees who
die in State service under circumstances under which they are eligible
for the accidental death benefit or for weekly cash workers'
compensation benefits under the same conditions as prescribed in
Section 165 of the Civil Service Law for dependents of a deceased
employee who was at the time of death an employee at a correctional
facility having individual and dependent coverage at the time of death
and where death occurred as a result of injuries sustained during the
period from September 9 through 13, 1971.
g. If an employee is granted a service-connected disability
retirement by a retirement or pension plan or system administered and
operated by the State of New York, the State will continue the health
23
insurance of that employee on the same basis as any other retiring
employee, regardless of the duration of the employee's service with the
State.
h. A permanent full-time employee who loses employment as a
result of the abolition of a position on or after April 1, 1977 shall
continue to be covered under the State health insurance plan at the
same contribution rate as an active employee for one year following
such layoff or until re-employment by the State or employment by
another employer, whichever first occurs.
i. The unremarried spouse or domestic partner who has not
acquired another domestic partner and otherwise eligible dependent
children of an employee, who retires after April 1, 1979, with ten (10),
or more years of active State service and subsequently dies, shall be
permitted to continue coverage in the health insurance program with
payment at the same contribution rates as required of active employees
for the same coverage.
j. The unremarried spouse or domestic partner who has not
acquired another domestic partner and otherwise eligible dependent
children of an active employee, who dies after April 1, 1979, and who,
at the date of death, was vested in the Employees' Retirement System,
had ten (10) or more years of benefits eligible State service, and who
was at least 45 years of age and was within ten (10) years of the
minimum retirement age shall be permitted to continue coverage in the
health insurance program with payment at the same contribution rates
as required of active employees for the same coverage.
k. Employees added to the payroll and covered by the State Health
Insurance Plan have the right to retain health insurance coverage after
retirement, upon the completion of ten (10) years of State service.
1. The State and DC-37 recognize the need to address the inequity
of providing employees who serve the minimum amount of time
necessary for health insurance in retirement with the same benefits as
career employees and shall, through the Joint Committee process,
develop a proposal to modify the manner in which employer
contributions to retiree premiums are calculated.
m. An employee retiring from State service may delay
commencement or suspend his/her retiree health coverage and the use
of the employee's sick leave conversion credits indefinitely provided
that the employee applies for the delay or suspension, and furnishes
24
proof of continued coverage under the health care plan of the
employee's spouse, or from post retirement employment. The surviving
spouse of a retiree who dies while under a delay or suspension as
referred to in Article 9.2(k) may transfer back to the State Health
Insurance Plan on the first of the month coinciding with or following
the retiree's death as described in Article 9.2(i).
n. Effective January 1, 1992, an employee who is eligible to
continue health insurance coverage upon retirement and who is entitled
to a sick leave credit to be used to defray any employee contribution
toward the cost of the premium, may elect an alternative method of
applying the basic monthly value of the sick leave credit. For
employees retiring 30 days or less after ratification, the basic monthly
value of the sick leave credit shall be calculated according to the
procedures in use on April 1, 2011. For employees retiring 30 days or
more after ratification, the basic monthly value of sick leave credit
shall continue to be calculated in the same manner except that the
calculation shall be based on the “1999 Unisex” actuarial table of life
expectancy used by the New York State Employees Retirement
System. Employees selecting the basic sick leave credit may elect to
apply up to 100 percent of the calculated basic monthly value of the
credit toward defraying the required contribution to the monthly
premium during their own lifetime. If employees who elect that
method predecease their eligible covered dependents, the dependents
may, if eligible, continue to be covered, but must pay the applicable
dependent survivor share of the premium. Employees selecting the
alternative method may elect to apply only up to 70 percent of the
calculated basic monthly value of the credit toward the monthly
premium during their own lifetime. Upon the death of the employee,
however, any eligible surviving dependents may also apply up to 70
percent of the basic monthly value of the sick leave credit toward the
dependent survivor share of the monthly premium for the duration of
the dependents' eligibility. The State has the right to make prospective
changes to the percentage of credit to be available under this
alternative method for future retirees as required to maintain the cost
neutrality of this feature of the plan. The selection of the method of
sick leave credit application must be made at the time of retirement,
and is irrevocable. In the absence of a selection by the employee, the
basic method shall be applied.
25
§9.3 Enrollment
a. Employees eligible to enroll in the State Health Insurance
Program may select individual or individual and dependent coverage
(family). Those eligible and enrolling for family coverage must
provide the names of all eligible dependents to the Plan administrator
in order for family coverage to become effective. Employees enrolling
without eligible dependents, or those who choose not to enroll their
eligible dependents, will be provided individual coverage.
b. Pursuant to the 2010 Federal Patient Protection and Affordable
Care Act, dependents up to age 26 shall be eligible for health
insurance, including prescription drug benefits.
c. Covered dependents of employees who are activated for military
duty as a result of an action declared by the President of the United
States or Congress shall continue health insurance coverage with no
employee contribution for a period not to exceed 12 months from the
date of activation, less any period the employee remains in full pay
status. Contribution free health insurance coverage will end at such
time as the employee’s active duty is terminated or the employee
returns to State employment, whichever occurs first.
§9.4 Empire Plan Premium
For employees in a title Salary Grade 9 or below (or an employee
equated to a position title Salary Grade 9 or below), the State agrees to
pay 88 percent of the cost of individual coverage and 73 percent of the
cost of dependent coverage. For employees in a title Salary Grade 10
and above (or an employee equated to a position title Salary Grade 10
and above) the State agrees to pay 84 percent of the cost of individual
coverage and 69 percent of the cost of dependent coverage.
NYSHIP enrollees who can demonstrate and attest to having other
coverage, provided by an employer other than New York State, may
annually elect to opt-out of NYSHIP’s Empire Plan or Health
Maintenance Organizations. Employees who choose to opt-out of a
NYSHIP health insurance plan will receive an annual payment of
$1,000 for not electing individual coverage or $3,000 for not electing
family coverage. The Opt-out program will allow for re-entry to
NYSHIP upon a change in status qualifying event as provided in
26
regulations under Internal Revenue Code § 125 and during the annual
option transfer period. The enrollee must be enrolled in NYSHIP prior
to April first of the previous plan year in order to be eligible to opt-out,
unless newly eligible to enroll. The Opt-out payment will be prorated
over the number of payroll cycles for the Plan Year and appear as a
credit to the employee’s wages for each bi-weekly payroll period the
eligible individual is qualified. Participation in the Opt-out shall be
considered enrollment in NYSHIP for all purposes, including retiree
health insurance coverage, use of sick leave credits toward health
insurance, and participation in the DC-37 Employee Benefit Fund.
§9.5 Empire Plan Benefits Management Program
The Benefits Management Program will continue. Precertification
will be required for all inpatient confinements and prior to certain
specified surgical or medical procedures regardless of proposed
inpatient or outpatient setting.
a. To provide an opportunity for a review of surgical and diagnostic
procedures for appropriateness of setting and effectiveness of treatment
alternative, precertification will be required for all inpatient elective
admissions.
b. Precertification will be required prior to maternity admissions in
order to highlight appropriate pre-natal services and reduce costly and
traumatic birthing complications.
c. A call to the Benefits Management Program will be required
within 48 hours of admission for all emergency or urgent admissions to
permit early identification of potential "case management" situations.
d. Precertification will be required prior to an admission to a skilled
nursing facility. Effective January 1, 2019, Skilled Nursing Facility
coverage shall be for a maximum of 120 days.
e. The hospital deductible amount imposed for noncompliance with
Program requirements will be $200. Also, this deductible will be fully
waived in instances where the medical record indicates that the patient
was unable to make the call. In instances of noncompliance, a
retroactive review of the necessity of services received shall be
performed. The hospital portion of the Empire Plan will only cover
those inpatient days determined by the Benefits Management Program
to be medically necessary and/or appropriate for the inpatient setting.
f. The Prospective Procedure Review Program will continue. This
27
Program will screen for the medical necessity of certain listed surgical
or diagnostic medical procedures which, based on Empire Plan
experience, have been identified as potentially unnecessary or over-
utilized. The list of procedures will undergo annual evaluation by the
Benefits Management Program vendor. As revised and approved by
the Joint Committee on Health Benefits, the list will be published and
distributed to enrollees prior to implementation.
g. The Prospective Procedure Review requirement will include
only Magnetic Resonance Imaging (MRI), Computerized Axial
Tomography (CAT Scans), Positron Emission Tomography (PET
scans), Magnetic Resonance Angiography (MRAs) and Nuclear
Medicine.
h. Enrollees will be required to call the Benefits Management
Program for precertification when a listed procedure is recommended,
regardless of setting. Enrollees will be requested to call two weeks
before the date of the procedure.
i. The Empire Plan's Prospective Procedure Review penalties will
apply for failure to comply with the requirements of the Prospective
Procedure Review Program, regardless of whether the expense is an
outpatient hospital or medical program expense.
§9.6 Empire Plan Hospital Program
(a) Network Hospital
1. Charges for outpatient services covered by the hospital contract
are subject to a $40 copayment per outpatient visit. Effective January
1, 2019, charges for outpatient services covered by the hospital
contract and hospital-owned urgent care centers will be subject to a
$50 copayment per outpatient visit. The copayment for emergency
room services covered by the hospital contract is $70. Effective
January 1, 2019, the copayment for emergency room services will be
$100. The copayment for outpatient hospital surgery is $60. Effective
January 1, 2019, the copayment for outpatient hospital surgery will be
$95. Services provided in a hospital owned or operated extension
clinic will be paid by the hospital carrier, subject to appropriate
copayment. The copayment for covered services for treatment of
alcohol/substance abuse will be the participating provider copayment.
The hospital outpatient copayment will be waived for persons admitted
to the hospital as an inpatient directly from the outpatient setting, for
28
pre-admission testing/pre-surgical testing prior to an inpatient
admission, or for the following covered chronic care outpatient
services: chemotherapy, radiation therapy, and hemodialysis. Hospital
outpatient physical therapy visits are subject to the same copayment in
effect for physical therapy visits under the Managed Physical Medicine
Program.
2. Charges for Private Duty Nursing service in a hospital will not
be reimbursed under the Basic Medical component of the Empire Plan.
3. The Empire Plan Hospital Program includes a voluntary
"Centers of Excellence Program" for organ and tissue transplants. The
Centers will provide pre-transplant evaluation, hospital and physician
service (inpatient and outpatient), transplant procedures, follow-up
care for transplant related services, as determined by the Centers, and
any other services as identified during implementation as part of an all-
inclusive global rate. A travel allowance for transportation and lodging
is included as part of the Centers of Excellence Program. The Joint
Committee on Health Benefits will work with the State and Empire
Plan carriers in the ongoing oversight of this benefit.
4. The Empire Plan hospital carrier will manage a hospital network
for the Empire Plan. Covered services at a network hospital will
remain a paid-in-full benefit under the hospital component of the Plan.
Inpatient anesthesiology, pathology and radiology services received at
a network hospital are a paid-in-full (less any appropriate copayment)
benefit.
(b)Non-Network Hospital
1. Covered inpatient services received at a non-network hospital
will be reimbursed at 90% of charges. There will be a separate $1,500
annual hospital coinsurance maximum per enrollee, enrolled dependent
spouse/domestic partner and all dependent children combined
established for non-network hospital out-of-pocket expenses.
Emergency room services rendered at a non-network hospital and
covered by the hospital contract will be reimbursed at the billed
charges minus the emergency room copayment. Other covered
outpatient services received at a non-network hospital will be
reimbursed at 90% of charges or a $75 copayment, whichever is
greater. Covered expenses for non-network hospital services will be
included in the combined coinsurance maximum set forth in section
9.7(b)2 of the Agreement.
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2. Services received at a non-network hospital will be reimbursed
at the network level of benefits under the following situations:
• Emergency outpatient/inpatient treatment;
• Inpatient/outpatient treatment only offered by a
non-network hospital;
• Inpatient/outpatient treatment in geographic areas where
access to a network hospital exceeds 30 miles;
• Care received outside of the United States; and
• When another carrier, including Medicare, is providing
primary coverage.
3. Once the annual coinsurance maximum has been met, non-
network hospital coverage for inpatient services are paid in full and
coverage for non-network hospital outpatient services shall be subject
to the same copayments as those in effect under the network level of
benefits.
§9.7 Empire Plan Medical Program
(a) Participating Provider Program/Copayments
The Empire Plan shall include medical/surgical coverage through
use of participating providers who will accept the Plan's schedule of
allowances as payment in full for covered services. Except as noted
below, benefits will be paid directly to the provider at 100 percent of
the Plan's schedule, not subject to deductible, coinsurance, or annual
and lifetime maximums.
1. Office visit charges by participating providers are subject to a
$20 copayment by the enrollee. Effective January 1, 2019, the
copayment will increase to $25.
2. All covered surgical procedures rendered during any visit by
participating providers are subject to a $20 copayment by the enrollee.
Effective January 1, 2019, the copayment will increase to $25.
3. All covered outpatient radiology services rendered during any
visit by participating providers are subject to a $20 copayment by the
enrollee. Effective January 1, 2019, the copayment will increase to
$25.
4. All covered outpatient laboratory services rendered during any
visit by participating providers are subject to a $20 copayment by the
enrollee. Effective January 1, 2019, the copayment will increase to
30
$25.
5. All covered services provided at a participating ambulatory
surgical center are subject to a $30 copayment by the enrollee. All
anesthesiology, radiology and laboratory tests performed on-site on the
same day of the surgery shall be included in this single copayment.
Effective January 1, 2019, the copayment will increase to $50.
6. The office visit, office surgery, outpatient radiology and
laboratory copayment amounts may be applied against the basic
medical coinsurance out-of-pocket maximum, however they will not
be considered covered expenses for basic medical payment.
7. The State shall require the insurance carriers to continue to
actively seek new participating providers in regions that are deficient
in the number of participating providers, as determined by the Joint
Committee on Health Benefits.
8. In the event that there is both an office visit charge and office
surgery charge by a participating provider in any single visit, the
covered individual will be subject to a single copayment.
9. Outpatient radiology services and laboratory services rendered
during a single visit by the same participating provider will be subject
to a single copayment.
10. Charges by participating providers for professional services for
allergen immunotherapy in the prescribing physician's office or
institution, chemotherapy, radiation therapy, or hemodialysis, will be
excluded from the office visit copayment.
11. Routine pediatric care, including the cost of all oral and
injectable substances for routine, preventive, and pediatric
immunizations, including influenza vaccine, subject to appropriate
protocols, shall be a covered benefit under the Empire Plan
participating provider component and the basic medical component. As
established by the 2010 Federal Patient Protection and Affordable Care
Act, no copayment shall be required.
12. The medical component of the Empire Plan shall include a
voluntary 24 hour day/7 day week nurse-line feature to provide both
clinical and benefit information through a toll-free phone number. The
Joint Committee on Health Benefits will work with the State and
Empire Plan carriers in the ongoing oversight of this benefit.
13. The cost of certain injectable adult immunizations shall be a
covered expense, subject to copayment(s), under the participating
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provider portion of the Empire Plan. As established by the 2010
Federal Patient Protection and Affordable Care Act, no copayment
shall be required. The list of immunizations shall include Influenza,
Pneumococcal, Measles, Mumps, Rubella, Varicella and Tetanus
Toxoid, Human Papilloma Virus (HPV), Meningococcal Meningitis,
and Herpes Zoster. All adult immunizations shall be subject to
protocols developed by the medical program administrator.
14. Covered preventive care services defined in the 2010 Federal
Patient Protection and Affordable Care Act are paid in full (i.e./ not
subject to copayment) when received from a participating provider.
15. The Empire Plan medical carrier will maintain a network of
prosthetic and orthotic providers (HCAP). Prostheses or orthotics
obtained through an approved prosthetic/orthotic network provider will
be paid under the participating provider component of the Empire Plan,
not subject to copayment. For prostheses or orthotics obtained other
than through an approved prosthetic/orthotic network provider,
reimbursement will be made under the basic medical component of the
Empire Plan, subject to deductible and coinsurance.
16. The Joint Committee on Health Benefits will establish Geo-
Access standards for primary care physicians and core provider
specialties including but not limited to: allergy, anesthesia, cardiology,
dermatology, laboratory, neurology, ophthalmology, orthopedic
surgery, otolaryngology, pathology, pulmonary medicine, radiology,
and urology. If there are no participating providers available within the
established access standards, enrollees will receive paid-in-full benefits
(less any appropriate participating provider copayment). Access
standards for other specialties may be added pursuant to Article 9.17.
17. Licensed and certified nurse practitioners and convenience care
clinics (also commonly referred to as “minute clinics” or “retail
clinics”) will be available as participating providers in the Empire Plan
subject to the applicable participating provider copayment(s).
(b)Basic Medical Program
The Empire Plan shall also include basic medical coverage to
provide benefits when nonparticipating providers are used. These
benefits will be paid directly to enrollees according to reasonable and
customary charges and will be subject to deductible, coinsurance, and
calendar year and lifetime maximums.
Periodic evaluation and adjustment of basic medical Reasonable &
32
Customary (R&C) charges will be performed according to guidelines
established by the Basic Medical Plan insurer.
The basic medical component annual and lifetime maximum
payments per covered person shall be unlimited.
1. The annual basic medical component deductible shall equal
$1,000 per enrollee, $1,000 per spouse/domestic partner and $1,000 for
one or all dependent children. Effective January 1, 2019, the annual
basic medical component shall equal $1,250 per enrollee, $1,250 per
covered spouse/domestic partner and $1,250 for one or all dependent
children. The annual basic medical component deductible for
employees in a title Salary Grade 6 or below (or an employee equated
to a position title Salary Grade 6 or below), shall equal $500 per
enrollee, $500 per covered spouse/domestic partner and $500 for one
or all dependent children. Effective January 1, 2019, the annual basic
medical component deductible for employees in a title Salary Grade 6
or below or an employee equated to a position title Salary Grade 6 or
below, shall equal $625 per enrollee, $625 per covered
spouse/domestic partner and $625 for one or all dependent children.
Covered expenses for basic medical services, mental health and/or
substance abuse treatments and home care advocacy services will be
included in determining the basic medical component deductible. As
set forth in Section 9.9 of this Agreement, a separate deductible for
managed physical medicine services will continue.
2. The annual maximum enrollee coinsurance out-of-pocket
expense under the basic medical component shall equal $3,000 for the
enrollee, $3,000 for the covered spouse/domestic partner and $3,000
for one or all dependent children. Effective January 1, 2019, the annual
maximum enrollee coinsurance out-of-pocket expense under the basic
medical component shall equal $3,750 for the enrollee, $3,750 for the
covered spouse/domestic partner and $3,750 for one or all dependent
children. For employees in a title Salary Grade 6 or below (or an
employee equated to a position title Salary Grade 6 or below), the
annual maximum coinsurance out-of-pocket expense shall equal
$1,500 for the enrollee, $1,500 for the covered spouse/domestic partner
and $1,500 for one or all dependent children. Effective January 1,
2019, the annual maximum coinsurance out-of-pocket expense under
the basic medical component for employees in a title Salary Grade 6 or
below or an employee equated to a position title Salary Grade 6 or
33
below will be $1,875 for the enrollee, $1,875 for the covered
spouse/domestic partner and $1,875 for one or all dependent children.
The coinsurance maximums will include out-of-pocket expenses for
covered hospital, medical, mental health and substance abuse services.
The coinsurance maximums will not include out-of-pocket expenses
for covered home care advocacy program services as set forth in
section 9.8 of this Agreement nor covered managed physical medicine
services as set forth in section 9.9 of this Agreement.
3. Covered charges for medically appropriate local
professional/commercial ambulance transportation will be a covered
basic medical expense subject only to a $35 copayment. Effective
January 1, 2019, the copayment for local professional/commercial
ambulance will increase to $70. Volunteer ambulance transportation
will continue to be reimbursed for donations at the current rate of $50
for fewer than 50 miles and $75 for 50 miles or over. These amounts
are not subject to deductible or coinsurance.
4. Routine newborn child care under the basic medical component
shall not be subject to deductible or coinsurance.
5. Services for examinations and/or purchase of hearing aids shall
be a covered major medical benefit. The hearing aid reimbursement
will be up to a maximum of $1,500 per hearing aid, per ear, once every
four years, not subject to deductible or coinsurance. For children 12
and under the same benefit can be available after 24 months, when it is
demonstrated that a covered child's hearing has changed significantly
and the existing hearing aid(s) can no longer compensate for the child's
hearing impairment.
6. Employees 50 years of age or older and their covered
spouses/domestic partners 50 years of age or older will be eligible for
reimbursement of up to 100% of the reasonable and customary charge
annually toward the cost of a routine physical examination. These
benefits shall not be subject to deductible or coinsurance.
7. Mastectomy brassieres prescribed by a physician, including
replacements when it is functionally necessary to do so, shall be a
covered benefit under the Empire Plan.
External mastectomy prostheses are a covered-in-full benefit, not
subject to deductible or coinsurance. Coverage will be provided by the
medical carrier as follows: Benefits are available for one single/double
mastectomy prosthesis in a calendar year. Pre-certification through the
34
Home Care Advocacy Program is required for any single prosthesis
costing $1,000 or more. If a less expensive prosthesis can meet the
individual's functional needs, benefits will be available for the most
cost-effective alternative.
8. The basic medical program will provide paid-in-full benefits for
prosthetic wigs subject to a lifetime maximum benefit of $1,500.
(c)Basic Medical Provider Discount Program
The Empire Plan Basic Medical component will include a Basic
Medical Provider Discount Program. This benefit is provided as a pilot
program which will expire on December 31, 2018, unless extended by
agreement of both parties.
§9.8 Empire Plan Home Care Advocacy Program
The current Home Care Advocacy Program (HCAP) for DC-37
employees enrolled in the Empire Plan shall remain in effect unless
modified by the Joint Committee on Health Benefits. Individuals who
fail to have medically necessary designated HCAP services and
supplies pre-certified by calling HCAP and/or individuals who use a
non-network provider will receive reimbursement at 50 percent of the
HCAP allowance for all services, equipment and supplies upon
satisfying the basic medical annual deductible. In addition, the basic
medical out-of-pocket maximum will not apply to HCAP designated
services, equipment and supplies. All other HCAP non-network benefit
provisions will remain.
An annual diabetic shoe benefit is available through the Home Care
Advocacy Program. In-network benefits will be paid at 100% with no
out-of-pocket cost up to a $500 maximum. For diabetic shoes obtained
other than through the Home Care Advocacy Program, reimbursement
will be made under the basic medical component of the Empire Plan,
subject to deductible, and the remainder paid at 75% of the network
allowance, up to a maximum allowance of $500.
§9.9 Empire Plan Managed Physical Medicine Program
The Empire Plan's medical care component will continue to offer a
comprehensive managed care network benefit for the provision of
medically necessary physical medicine services, including physical
therapy and chiropractic treatments. Authorized network care will be
available, subject only to the Plan's participating provider office visit
35
copayment(s). Unauthorized medically necessary care, at enrollee
choice, will also be available, subject however, to a $250 annual
deductible and a maximum payment of 50 percent of the network
allowance for the service(s) provided. Deductible/coinsurance
payments will not be applicable to the Plan's annual basic medical
deductible/coinsurance maximums. The Joint Committee on Health
Benefits will work with the State on the ongoing administration of this
benefit. The participating provider office visit copayment(s) shall
apply to covered physical therapy visits received at the outpatient
department of the hospital.
§9.10 Empire Plan Disease Management Programs
The Empire Plan medical component shall include a voluntary
disease management program. Disease Management covers those
illnesses identified to be chronic, high cost, impact quality of life, and
rely considerably on the patient’s compliance with treatment protocols.
The current Disease Management Programs for Cardiovascular
Disease Risk Reduction, Asthma, Congestive Heart Failure, Sleep
Apnea, Depression, Chronic Obstructive Pulmonary Disease, Chronic
Kidney Disease, Eating Disorders, Attention Deficit Hyperactivity
Disorder and Diabetes will continue. The Disease Management
Programs will provide benefits for nutritional services where clinically
appropriate. The Joint Committee on Health Benefits will work with
the State and Empire Plan carriers in the ongoing oversight of this
benefit.
The Empire Plan medical carrier shall contract with Diabetes
Education Centers accredited by the American Diabetes Education
Recognition Program.
The Joint Committee on Health Benefits will work with the State
and the Empire Plan carriers in the ongoing oversight of this benefit.
§9.11 Empire Plan Centers of Excellence
(a) Infertility Services: Empire Plan participating provider and
basic medical coverage for the treatment of infertility is as follows:
• access to designated "Centers of Excellence" including a travel
benefit;
• enhanced benefit to include the treatment of "couples" as long as
both partners are covered either as enrollee or dependent under the
36
Empire Plan;
• lifetime coverage limit per individual of $50,000;
• prior authorization required for certain procedures;
• covered services: patient education counseling, diagnostic testing,
ovulation induction/hormonal therapy, surgery to enhance
reproductive capability, artificial insemination and Assisted
Reproductive Technology procedures;
• Exclusions: experimental procedures, fertility drugs dispensed at a
licensed pharmacy, medical and other charges for surrogacy, donor
services/compensation in connection with pregnancy, storage of
sperm, eggs and/or embryo for longer than six months and high
risk patients with no reasonable expectation for pregnancy.
The Joint Committee on Health Benefits will work with the State
and Empire Plan carriers on the design and implementation of this
benefit. Ongoing Program oversight and evaluation of the lifetime
coverage will enable future modification if warranted.
(b) Cancer Resource Services: The Empire Plan Centers of
Excellence program shall include Centers of Excellence for Cancer
Resource Services. The Centers of Excellence for Cancer Resource
Services (CRS) program will provide direct nurse consultations,
information and assistance in locating appropriate care centers,
connection with cancer experts at CRS Cancer Centers, and paid-in-
full reimbursement for all services provided at a CRS Cancer Center. A
travel allowance for transportation and lodging will be included as part
of the Centers of Excellence Program.
(c)Solid Organ Transplants are covered through a Center of
Excellence Program managed by the Empire Plan Hospital Carrier.
Refer to Article 9.6(a.3).
§9.12 Empire Plan Managed Mental Health
and Substance Abuse
The program for managed care of psychiatric services and alcohol
and other substance abuse treatment shall continue. The Joint
Committee on Health Benefits will work with the State on the ongoing
review of the program.
The Empire Plan shall continue to provide comprehensive coverage
37
for medically necessary mental health and substance abuse treatment
services through a managed care network of preferred mental health
and substance abuse care providers. In addition to the in-network care,
limited non-network care will be available. Benefits shall be as
follows:
(a) In-Network Benefit
Mental Health Coverage
• Paid-in-full medically necessary hospitalization services and
inpatient physician charges when provided by or arranged through
the network;
• Outpatient care provided by or arranged through the network will
be covered subject to a $20 per visit copay. Effective January 1,
2019, the copayment will increase to $25.
• Up to three (3) visits for crisis intervention provided by or arranged
through the network will be covered without a copayment.
Alcohol and Other Substance Abuse Coverage
• Paid-in-full medically necessary care for hospitalization or
alcohol/substance abuse facilities when provided by or arranged
through the network;
• Outpatient care provided by or arranged through the network will
be subject to the participating provider office visit copay.
Benefit Maximums
Annual and lifetime dollar maximums for covered expenses will be
at the same level as the major medical annual and lifetime dollar
maximums;
(b) Non-Network Benefit
Medically necessary care rendered outside of the network will be
subject to the following provisions:
• Non-network coverage for mental health and substance abuse
treatment is subject to the same deductibles and coinsurance
maximums as the non-network Hospital and Basic Medical
coverage.
• Expenses applied against the deductible, coinsurance and/or copay
levels indicated above will not apply against any deductible,
coinsurance, copay levels or maximums under the basic medical
portion of the Plan. Effective January 1,2012, with the
implementation of the Federal Mental Health Parity requirements,
38
covered expenses for non-network mental health and substance
abuse treatment will be included in the combined deductible and
combined coinsurance maximum as set forth in section 9.7(b1) and
(b2) of this Article.
§9.13 Empire Plan Prescription Drug Program
Eligible employees enrolled in the New York State Health
Insurance Program (NYSHIP) will be provided with prescription drug
coverage either through the Empire Plan or a Health Maintenance
Organization. For employees in a title Salary Grade 9 or below (or an
employee equated to a position title Salary Grade 9 or below), the State
agrees to pay 88 percent of the cost of individual coverage and 73
percent of the cost of dependent coverage. For employees in a title
Salary Grade 10 and above (or an employee equated to a position title
Salary Grade 10 and above) the State agrees to pay 84 percent of the
cost of individual coverage and 69 percent of the cost of dependent
coverage.
The Empire Plan Prescription Drug Program benefits shall consist
of the following: The Prescription Drug Program will cover medically
necessary drugs, including vitamins, contraceptive drugs, and
contraceptive devices requiring a physician's prescription and
dispensed by a licensed pharmacist. Mandatory Generic Substitution
will be required for all brand-name multi-source prescription drugs (a
brand-name drug with a generic equivalent) covered by the
Prescription Drug Program, except those brand-name drugs that are
specifically excluded. When a brand-name multi-source drug is
dispensed, the Program will reimburse the pharmacy (or enrollee) for
the cost of the drug's generic equivalent. The enrollee will be
responsible for the cost difference between the non-preferred brand-
name drug and its generic equivalent, plus the copayment for the non-
preferred brand name drug.
Effective July 1, 2014 or as soon as practicable thereafter, “new-to-
you” prescriptions will require two 30 day fills at a retail pharmacy
prior to being able to obtain a 90 day fill through either a retail or mail
pharmacy. The “new to you” program will be discontinued no later
than January 1, 2019.
When deemed appropriate the Empire Plan Prescription Drug
Program Insurer/Pharmacy Benefit Manager shall be permitted
39
additional flexibility in the management of the formulary, including the
following:
• Place a brand name drug on Level One and exclude or place a
generic drug on Level Three subject to the 1, appropriate
copayment. This placement may be revised mid-year when such
revision is advantageous to the Plan. Enrollees will be notified in
advance of such changes.
• the copayment for up to a 30-day supply at either the retail or mail
service pharmacy will be $5 for generic/Level 1 drugs, $25 for
preferred brand-name/Level 2 drugs ($30 effective January 1,
2019), and $45 for non-preferred brand-name/Level 3 drugs ($60
effective January 1, 2019).
• the copayment for a 31 to 90-day supply at the retail pharmacy will
be $10 for generic/Level 1 drugs, $50 for preferred brand-
name/Level 2 drugs ($60 effective January 1, 2019), and $90 for
non-preferred brand-name/Level 3 drugs ($120 effective January 1,
2019).
• the copayment for a 31 to 90-day supply at the mail service
pharmacy will be $5 for generic/Level 1 drugs, $50 for preferred
brand-name/Level 2 drugs ($55 effective January 1, 2019), and $90
for non-preferred brand-name/Level 3 drugs ($110 effective
January 1, 2019).
§9.14 Health Maintenance Organization (HMO) Option
Eligible employees in the State Health Insurance Plan may elect to
participate in a federally qualified or state certified Health
Maintenance Organization which has been approved to participate in
the State Health Insurance Program by the Joint Committee on Health
Benefits. If more than one HMO services the same geographic area,
the Joint Committee on Health Benefits reserves the right to approve a
contract with only such organization(s) deemed to be a quality, cost
effective option(s). The Joint Committee on Health Benefits will work
with the State through the HMO Workgroup to continue to identify and
mutually agree upon appropriate incentives for HMO alternatives to
become more competitive in quality of care provided and efficient in
cost to payers. Enrollees may change their health insurance option each
year during the Option Transfer Period unless another period is
mutually agreed upon by the State and the Joint Committee on Health
40
Benefits.
The State agrees to continue to provide alternative Health
Maintenance Organization (HMO) coverage. For employees in a title
Salary Grade 9 or below (or an employee equated to a position title
Salary Grade 9 or below), the State agrees to pay 88 percent of the cost
of individual coverage and 73 percent of the cost of dependent
coverage toward the hospital/medical/mental health and substance
abuse component of each HMO, not to exceed 100 percent of its dollar
contribution for those components under the Empire Plan and the State
agrees to pay 88 percent of the cost of individual prescription drug
coverage and 73 percent of dependent prescription drug coverage
under each participating HMO. For employees in a title Salary Grade
10 and above (or an employee equated to a position title Salary Grade
10 and above) the State agrees to pay 84 percent of the cost of
individual coverage and 69 percent of the cost of dependent coverage
toward the hospital/medical/mental health and substance abuse
component of each HMO, not to exceed 100 percent of its dollar
contribution for those components under the Empire Plan and the State
agrees to pay 84 percent of the cost of individual prescription drug
coverage and 69 percent of dependent prescription drug coverage
under each participating HMO.
§9.15 Option Transfer Period
Employees may change their health insurance option each year
throughout the month of November, unless another period is mutually
agreed upon by the State and the Joint Committee on Health Benefits.
The State shall provide health insurance comparison information to
employees, through State agencies, prior to the beginning of an open
transfer period. If the comparison information is delayed for any
reason, the transfer period shall be extended for a minimum of 30
calendar days beyond the date the information is distributed to the
agencies. Employees transferring plans during a scheduled period, but
prior to the provision of the comparison data, may elect to further alter
or rescind their health plan transfer during the remainder of the open
transfer period.
If the rate renewals are not available by the time of the open
transfer period, then the open transfer period shall be extended to
assure ample time for employees to transfer.
41
§9.16 Medical Flexible Spending Account
A Medical Flexible Spending Account (MFSA) is established.
Eligible expenses under the Medical Flexible Spending Account
include over-the-counter medications according to guidelines
developed by the Medical Flexible Spending Account Administrator.
Effective January 1, 2019, or as soon as practicable thereafter, the State
will implement a direct debit vehicle or electronic submission to
enhance the Medical Flexible Spending Account.
§9.17 Joint Committee on Health Benefits
a. The State and DC-37 agree to continue the Joint Committee on
Health Benefits.
b. The Joint Committee on Health Benefits shall meet within 14
days after a request to meet has been made by either side.
c. The Joint Committee shall work with appropriate State agencies
to review and oversee the various health plans available to employees
represented by DC-37.
d. The Joint Committee on Health Benefits shall work with
appropriate State agencies to monitor future employer and employee
health plan cost adjustments.
e. The Joint Committee shall be provided with each carrier rate
renewal request upon submission and be briefed in detail periodically
on the status of the development of each rate renewal.
f. The State shall require that the insurance carriers for the State
Health Insurance Plan submit claims and experience data reports
directly to the Joint Committee on Health Benefits in the format and
with such frequency as the Committee shall determine.
g. The Joint Committee on Health Benefits shall work with
appropriate State agencies to make mutually agreed-upon changes in
the Plan benefit structure through such initiatives as:
1. The annual HMO Review Process;
2. The ongoing review of the Managed Mental Health and
Substance Abuse Care Program;
3. The ongoing review of the Benefits Management Program and
the annual review of the list of procedures requiring Prospective
Procedure Review;
4. Evaluating the current pre-notification of radiology services and
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reviewing the viability of pre-authorizing non-urgent/non-emergent
cardiologic procedures and testing;
5. Ongoing review of the Managed Physical Medicine Program;
6. The ongoing review of the "One-Stop Shopping" concept that
will consolidate the various telephone requirements enrollees must
adhere to and other plan resources;
7. The continuation of the ambulatory surgery benefit and
monitoring of participating centers;
8. The continuation of the Home Care Advocacy Program and the
ongoing review of services offered;
9. The Joint Committee will review the impact of Domestic Partner
coverage under the New York State Health Insurance Program
(NYSHIP), including the appropriateness of the existing waiting
periods;
10. The ongoing review of a Section 125 Medical Flexible
Spending Account;
11. Review of the application of deductibles for non-compliance
with the Benefits Management Program requirements and for non-
medically necessary services; review the Centers of Excellence
Program as utilization information becomes available from the medical
component vendor;
12. In cooperation with the New York State Health Insurance
Program (NYSHIP) management, attempt to develop a "report card"
which will include objective quality data to assist employees in
selecting the health benefit plan that best meets the needs for the
employees and their dependents;
13. The Joint Committee will review the utilization of durable
medical equipment provided by the Home Care Advocacy Program;
14. The Joint Committee will work with the State and medical
carrier to determine the feasibility of developing a network of hearing
aid providers;
15. The Joint Committee will work with the State to explore the
implementation of additional Centers of Excellence to include, but not
be limited to Centers of Excellence for Bariatric Surgery. Nutritional
counseling will be available when clinically appropriate;
16. The Joint Committee will explore the possibility of a
copayment waiver for office visits and prescription drugs when related
to chronic conditions;
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17. The Joint Committee on Health Benefits will work with the
State and Empire Plan carriers to establish two additional disease
management programs: Healthy Back and Bariatric Surgery;
18. The Joint Committee will work with the State to develop a
voluntary Value Based Insurance Design (VBID) Pilot Program
19. The Joint Committee will work with the State to develop a
voluntary Telemedicine Pilot Program; and
20. The State shall seek the appropriation of funds by the
Legislature to support Committee initiatives and to carry out the
administrative responsibilities of the Joint Committee as follows:
4/01/16-3/31/17 $5,306
4/01/-17-3/31/18 $5,412
4/01/-18-3/31/19 $5,520
4/01/-19-3/31/20 $5,630
4/01/-20-3/31/21 $5,743
§9.18 Department of Civil Service Assistance
The State shall provide toll-free telephone service at the
Department of Civil Service Health Insurance Section for information
and assistance to employees and dependents on health insurance
matters.
§9.19 Workers’ Compensation - Health Insurance
a. A permanent full-time employee who is removed from the
payroll due to an accepted work-related injury or occupational
condition shall remain covered under the State Health Insurance Plan
and shall be treated the same as an employee on a preferred list.
b. A permanent full-time employee who is removed from the
payroll due to an assault, and is granted workers compensation for up
to 24 months, shall remain covered under the State Health Insurance
Plan for the same duration and will be responsible for the employee
share of the premium.
c. A permanent full-time employee who is removed from the
payroll due to a controverted work-related injury or occupational
condition will have the right to apply for a health insurance premium
waiver. The appropriate agency will be responsible to inform the
employee of his or her right to apply for the waiver prior to the
employee meeting the eligibility requirements for the waiver of
premium.
§9.20 Confidentiality
The confidentiality of individual subscriber claims shall not be
violated. Except as required to conduct financial and claims processing
audits of carriers and coordination of benefit provisions, specific
individual claims data, reports or summaries shall not be released by
the carrier to any party without the written consent of the individual,
insured employee or covered dependent.
ARTICLE 10 Employee Benefit Fund
§10.1
The State and the Union agree that they shall hereinafter enter into
a contract to provide for the implementation of an employee benefit
fund, in accordance with such terms as shall be jointly agreed upon by
the parties and subject to the approval of the Comptroller to be
established by the union to provide certain health and welfare benefits
for employees and retirees.
§10.2
For purposes of this Article, the term "employee" shall mean any
person holding a position in this negotiating unit who is eligible for
enrollment in the State Health Insurance Plan in accordance with the
provisions contained in Part 73 of the Rules and Regulations of the
Department of Civil Service (4 NYCRR Part 73), except that it shall
not mean seasonal employees whose employment is expected to last
less than six months, employees in temporary positions of less than six
months duration, or employees holding appointments otherwise
expected to last less than six months. For purposes of this Article, the
term "retiree" shall mean any person who held such a position on or
after April 1, 1984 and who immediately upon termination of
employment in such position is eligible to receive a service retirement
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benefit from either the New York State Employee Retirement System
or the New York City Employees Retirement System.
§10.3
For the purpose of determining the amount to be deposited in
accordance with sub-paragraph 10.4, the number of employees shall be
determined to be the number of employees on the payroll on the
payroll date closest to 21 days before the first day of the quarter for
which the deposit is to be made and the number of retirees as of that
same date.
§10.4
The State shall deposit in the employee benefit fund the amount set
forth below per employee and retiree who continues to receive a
service retirement benefit for each year of this Agreement, such
amount to be deposited as soon as practicable after the first day of each
quarter.
Effective 4/02/2016 – 4/01/2017 $245.00 per quarter
Effective 4/02/2017 – 4/01/2018 $245.00 per quarter
Effective 4/02/2018 – 4/01/2019 $249.90 per quarter
Effective 4/02/2019 – 4/01/2020 $254.90 per quarter
Effective 4/02/2020 – and thereafter $260.00 per quarter
ARTICLE 11 Employee Development and Training
§11.1
There shall be established an Employee Development and Training
Committee comprised of two designees of the State and two designees
of DC-37. This Committee shall meet periodically to determine the
training and development needs of employees and recommend means
of meeting these needs.
§11.2
The Employee Development and Training Committee shall
approve payment from the Employee Development and Training Fund
in the amount of $111.32 effective April 2, 2016, $111.32 effective
April 2, 2017, $113.55 effective April 2, 2018, $115.82 effective April
2, 2019, and $118.14 effective April 2, 2020 per employee and retiree
as defined in Article 10, Section 10.2, per year to the District Council
37 Benefits Fund Trust in payment for training and development
programs provided to employees by the fund.
ARTICLE 12 Attendance and Leave
§12.1 Holiday Observance
(a) An employee who is entitled to time off with pay on days
observed as holidays by the State as an employer shall be granted
compensatory time off when any such holiday falls on a Saturday,
provided, however, that employees scheduled or directed to work on
any such Saturday may receive additional compensation in lieu of such
compensatory time off in accordance with Section 7.15 of this
Agreement. The State may designate a day to be observed as a holiday
in lieu of such holiday which falls on Saturday.
(b) The following holidays will be observed by all employees
within this unit eligible to observe holidays unless otherwise specified
by mutual agreement between the parties:
1. New Year’s Day
2. Martin Luther King Day
3. Lincoln’s Birthday
4. Washington’s Birthday
5. Memorial Day
6. Independence Day
7. Labor Day
8. Columbus Day
9. Election Day
10. Veterans’ Day
11. Thanksgiving Day
12. Christmas Day
(c)(1) The State, at its option, may designate up to two floating
holidays in each year of this Agreement in lieu of two of the holidays
set forth in paragraph (b) above, such that employees shall have the
opportunity to select, on an individual basis, the dates upon which such
floating holidays will be observed by them, consistent with reasonable
operating needs of the State. The State's designation of the holidays to
be floated shall be announced in April of the contract year.
(c)(2) Floating holiday leave credits may be used in such units of
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time as the appointing authority may approve, but the appointing
authority shall not require that floating holiday leave credits be used in
minimum units greater than one-quarter hour. This provision shall not
supersede any local arrangements which provide for liquidation in
smaller units of time.
(d) Holiday Leave for Part-Time Employees
In the event a holiday falls on a Saturday and another day is not
designated to be observed as the holiday, part-time employees covered
by the New York State Attendance Rules who are compensated on an
annual salary basis, and who are eligible to observe holidays, and who
are employed on a fixed schedule of at least half time, and for whom
Saturday is not a regular workday but who are scheduled to work on
the Friday immediately preceding such Saturday holiday, shall be
granted holiday leave. The amount of holiday leave granted shall be
equivalent to the number of hours the employee is regularly scheduled
to work on the Friday immediately preceding the Saturday holiday but
not to exceed one-fifth (1/5) the number of hours in the normal
workweek of full-time State employees.
§12.2 Holiday Accrual
Compensatory time off in lieu of holidays earned after the effective
date of this Agreement shall be recorded in a leave category to be
known as Holiday Leave.
§12.3 Additional Vacation Credit
(a) The State agrees to grant employees having 20 or more years of
continuous State service and who are entitled to earn and accumulate
vacation credits additional vacation credit as follows:
Completed Years
of Continuous Service
Additional
Vacation Credit
20 to 24 1 day
25 to 29 2 days
30 to 34 3 days
35 or more 4 days
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(b) Eligible employees shall receive additional vacation credit on
the date on which they would normally be credited with additional
vacation in accordance with the above schedule and shall thereafter be
eligible for additional vacation credit upon the completion of each
additional 12 months of continuous State service. Continuous State
service for the purpose of this section shall mean uninterrupted State
service, in pay status, as an employee. A leave of absence without pay,
or a resignation followed by reinstatement or reemployment in State
service within one year following such resignation, shall not constitute
an interruption of continuous State service for the purposes of this
section; provided, however, that leave without pay for more than six
months or a period of more than six months between resignation and
reinstatement or reappointment, during which the employee is not in
State service, shall not be counted in determining eligibility for
additional vacation credits under this provision.
(c) Nothing contained herein shall be construed to provide for the
granting of additional vacation retroactively for periods of service prior
to the effective date of this Agreement.
§12.4 Annual Leave Accumulation
(a) Annual leave shall be credited in accordance with the New
York State Attendance Rules.
(b) Annual leave credits may be accumulated up to 40 days;
provided, however, that in the event of death, retirement or separation
from service, an employee compensated in cash for the accrued and
unused accumulation may only be so compensated for a maximum of
30 days. An employee's annual leave accumulation may exceed the
maximum of 40 days during a fiscal year, provided, however, that the
accumulation of annual leave credits may not exceed 40 days on April
1 of any year.
§12.5 Vacation Scheduling
(a) Assignment of vacation time off shall be made at the times
desired by an employee to the extent practicable in the light of needs of
the department or institution involved to provide the service it is
charged to provide. In the event that more employees request the same
vacation time off than can be reasonably spared for operating reasons,
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vacation time off will be granted in accordance with Article 27.
(b) In lieu of scheduling vacation in order of seniority as provided
above, the Division of Homes and Community Renewal and DC-37
may, by mutual agreement, provide that in the event some employees
have accumulated vacation credits in excess of 35 days, these
employees shall be given preference on requested assignment of
vacation time off.
(c) To assist in the scheduling of such vacation time off, the
Division of Homes and Community Renewal may establish an annual
date or dates or period or periods by which or within which employees
must request a block of time in order to have their seniority considered.
(d) Establishment of such dates or periods shall be worked out in
understandings between the Division of Homes and Community
Renewal and the appropriate designee of DC-37 unless they mutually
agree that such dates or periods are unnecessary or undesirable.
§12.6 Vacation Use
(a) Vacation credits may be used in such units of time as the
appointing authority may approve, but the appointing authority shall
not require that vacation credits be used in units greater than one-
quarter hour. This provision shall not supersede any local arrangements
which provide for liquidation in smaller units of time.
(b) An employee's properly submitted written request for use of
accrued vacation credits shall be answered within a reasonable period
of time. If an employee's properly submitted request for use of accrued
vacation credits is denied or cancelled, the employee shall receive,
upon written request, a written statement of the reasons for such denial
or cancellation. Such written statement of the reasons for such denial
or cancellation shall be provided within five (5) days of receipt of the
written request for it.
§12.7 Sick Leave Accumulation
(a) Sick Leave shall be credited in accordance with the New York
State Attendance Rules except that employees first appointed on or
after April 1, 1982 and prior to October 1, 1987 shall earn sick leave at
the rate of 13 days per year.
Employees first appointed on or after October 1, 1987, and those
appointed prior to that date who elected to participate in the Income
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Protection Plan, and who remain participants in such plan, shall earn
sick leave at the rate of eight (8) days per year.
Employees who transferred to New York State on April 1, 1984 in
accordance with the provisions of Section 45 or Section 70 of the Civil
Service Law shall, if they were in the continuous employment of the
employer from which they so transferred for the period March 31,
1982 through March 31, 1984, be considered for this purpose to have
been hired by the State prior to April 1, 1982 and if they were not in
such continuous employment for such period, shall be considered for
this purpose to have been hired by the State after April 1, 1982.
(b) Employees who are entitled to earn and accumulate sick leave
credits may accumulate such credits up to a total of 200 days.
Employees shall have the ability to use up to 200 days of such credits
for retirement service credit and to pay for health insurance in
retirement.
§12.8 Use of Sick Leave
(a) Sick leave credits may be used for scheduled medical or dental
appointments with the advance approval of the appointing authority or
the authority's designee.
(b) Sick leave credits may be used in such units of time as the
appointing authority may approve, but the appointing authority shall
not require that sick leave credits be used in units greater than one-
quarter hour.
(c) Local labor/management arrangements may be developed to
require the designation of one person in a particular work location or
area to receive, on a confidential basis, medical information provided
by an employee in support of the use of sick leave credits and to
transmit the authorization for the use of such credits back to the
employee's immediate supervisor.
(d) Medical certification forms shall not require an employee's
physician, in describing the cause of the employee's absence, to
provide more than a brief diagnosis.
§12.9 Personal Leave Accumulation
Personal leave shall be credited in accordance with the New York
State Attendance Rules.
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§12.10 Use of Personal Leave
(a) The State shall not require an employee to give a reason as a
condition for approving the use of personal leave credits, provided,
however, that prior approval for the requested leave must be obtained,
that the resulting absence will not interfere with the proper conduct of
governmental functions, and that an employee who has exhausted
personal leave credits shall charge approved absences from work
necessitated by personal business or religious observance to
accumulated vacation or overtime credits.
(b) Personal leave credits may be used in such units of time as the
appointing authority may approve, but the appointing authority shall
not require that personal leave credits be used in units greater than one-
quarter hour. This provision shall not supersede any local arrangements
which provide for liquidation in smaller units of time.
§12.11 Accounting of Time Accruals and Time Worked
Employees are required to keep daily time records showing actual
hours worked on forms, or on an electronic or automated timekeeping
system, to be provided by the State, subject to review and approval by
the employee’s supervisor. Employees shall be advised of the leave
accruals to their credit on official records at least once each year.
§12.12 Absence - Extraordinary Circumstances
(a) Employees who have reported for duty and, because of
extraordinary circumstances beyond their control, are directed to leave
work, shall not be required to charge such directed absence during such
day to leave credits.
(b) In those instances in which the Governor declares a state of
emergency in a specified geographic area, based on circumstances
which affect travel, and directs that employees whose official stations
are within the specified geographic area not report to work, such
absences shall be excused with no charge to leave credits.
§12.13 Tardiness for Members of Volunteer Fire
Departments, Volunteer Ambulance Services, Enrolled Civil
Defense and Civil Air Patrol Volunteers
An appointing authority shall excuse a reasonable amount of
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tardiness caused by direct emergency duties of duly authorized
volunteer firefighters, members of volunteer ambulance services and
enrolled civil defense and civil air patrol volunteers. In such cases, the
appointing authority may require the employee to submit satisfactory
evidence that the lateness was due to such emergency duties.
§12.14 Leave for Bereavement or Family Illness
(a) Employees shall be allowed to charge absences from work in
the event of death or illness in the employee's immediate family
against accrued sick leave credits up to a maximum of 25 days in any
one calendar year.
(b) For this purpose, family is defined as any relative or relative-in-
law, or any person with whom the employee has been making his or
her home. Family sick leave is available to employees who are
providing direct care to a family member who is ill. Requests for leave
for family illness shall be subject to approval of the appointing
authority; such approval shall not be unreasonably withheld.
§12.15 Part-Time, Per Diem and Hourly Employees
(a) Part-time employees covered by the New York State
Attendance Rules who are compensated on an annual salary basis shall
be eligible to earn and accumulate, or be credited with vacation, sick or
personal leave credits on a prorated basis if they are employed on a
fixed schedule of at least half time. For the purpose of crediting
vacation and personal leave for such employees in State service on the
effective date of this section, their anniversary dates shall be
determined in a manner consistent with their total State service.
(b) Employees covered by the New York State Attendance Rules
who are compensated on a per diem or hourly basis shall be eligible for
vacation, sick and personal leave benefits on a prorated basis if they
are employed on a fixed schedule of at least half time and are so
employed continuously for nine (9) months without a break in service
exceeding one full payroll period.
(c) Nothing contained herein shall be construed to provide for the
granting of paid leave benefits retroactively for periods of service prior
to the effective date of this Agreement.
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§12.16 Sick Leave at Half-Pay
(a) An appointing authority may grant sick leave at half-pay in
accordance with the New York State Attendance Rules and shall grant
such sick leave at half-pay for personal illness to a permanent
employee eligible for such leave and subject to the following
conditions:
(1) The employee shall not have less than one cumulative year of
State service;
(2) The employee’s sick leave, vacation credit, overtime credits,
compensatory credits and other accrued credits shall have been
exhausted; the employee shall be deemed to have exhausted his/her
accrued credits when the sum of the employee’s remaining credits, in
the aggregate, is less than the number of hours in the employee’s
normal workday; such credits as are remaining shall be retained by the
employee;
(3) The cumulative total of all sick leave at half-pay granted to an
employee during his/her State service shall not exceed one payroll
period for each completed six (6) months of State service;
(4)(a) Sick leave at half-pay shall be granted immediately
following exhaustion of leave credits except to employees who have
been formally disciplined for leave abuse within the preceding year;
(b) Employees who have been formally disciplined for leave abuse
within the preceding year shall be granted sick leave at half-pay
following ten consecutive workdays of absence, unless such waiting
period is waived by the appointing authority;
(c) For purposes of this subsection, an employee is deemed to have
been formally disciplined for leave abuse if any of the following
conditions occurred: a time and attendance notice of discipline was
settled within one year preceding the request for sick leave at half pay,
or the employee has been found guilty of the time and attendance
charges within one year preceding the request for sick leave at one
half-pay or the employee did not contest the time and attendance notice
of discipline served within one year preceding the request for sick
leave at half-pay. It does not include notices of discipline regarding
issues other than time and attendance or those dismissed by an
arbitrator or umpire or withdrawn by the appointing authority;
(5) Satisfactory medical documentation shall be furnished and
continue to be periodically furnished at the request of the appointing
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authority; and
(6)(a) Such leave shall not extend a period of appointment or
employment beyond such date as it would otherwise have terminated
pursuant to law or have expired upon completion of a specified period
of service.
(b) Employees who receive sick leave at half-pay under the
provisions of subsection (a) above shall have that number of days of
such sick leave at half-pay deducted from the number of days of sick
leave at half-pay they are otherwise eligible to receive at the discretion
of their appointing authority under the provisions of Section 21.5 of the
New York State Attendance Rules.
§12.17 Leave for Professional Meetings
Subject to prior approval by the appointing authority, each
employee will be allowed a maximum of three (3) days per year
without charge to leave credits to attend:
(a) conferences or seminars of recognized professional
organizations, such conferences or seminars to be directly related to
the employee's profession or professional duties; and/or,
(b) programs which are necessary for the employee to maintain or
obtain licensure or accreditation in the employee’s position with the
State.
Absences under this provision may be restricted to 10 percent of
the profession in the operating unit (e.g., main office or field office).
Requests for such leave shall be approved to the extent that such
absence would not interfere with the proper conduct of governmental
functions. Such leave shall not be cumulative and if not used shall be
cancelled at the end of each year of this Agreement. Unused leave shall
not be liquidated in cash at the time of separation, retirement or death.
§12.18 Doctor's Certificates
(a) The normal procedure for authorizing the use of sick leave
credits is for the employee to make a request directly to the immediate
supervisor and, if requested, also to submit a doctor's certificate that
provides proof of illness and fitness for duty.
(b) A doctor’s certificate will not be routinely required for absences
of four (4) days or less; provided, however, the appointing authority
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shall have the right to substantiate an employee’s illness in accordance
with the provisions of the Attendance Rules. When the appointing
authority determines that the employee shall be required to provide
medical documentation solely as a result of a review of the employee’s
attendance record, such requirement shall follow counseling and
written notice to the employee. The requirement shall commence
subsequent to such notice, shall be of a reasonable duration, and the
employee shall be properly notified of the conditions that the
requirement imposes.
(c) A brief diagnosis will not be required as part of any required
medical documentation unless the employee has been absent from
work due to illness or injury for greater than thirty (30) consecutive
calendar days.
(d) The State and DC-37 recognize that there may be occasions
when the employee wishes to keep the requested doctor’s certificate
confidential. In order to provide for such a situation and maintain strict
confidentiality, procedures shall be developed at the labor/management
forum that would designate one person in a particular department,
agency or facility to receive the medical information and transmit the
authorization for use of sick leave credits back to the employee’s
immediate supervisor.
§12.19 Voluntary Reduction in Work Schedule
There shall be a Voluntary Reduction in Work Schedule (VRWS)
program, as described in the Program Guidelines reproduced in
Appendix E. Disputes arising from the denial of VRWS requests shall
be reviewed only in accordance with the procedures established in
paragraph 12 of the Guidelines, and not under Article 31. Other
disputes arising in connection with this provision shall be subject to
review through the procedure established in Article 31, section 31.1(b)
of this Agreement.
§12.20 Productivity Enhancement Program
There shall be a Productivity Enhancement Program as described
in Appendix D. Disputes arising from this program are not subject to
the grievance procedure contained in this Agreement. This is a pilot
program that will sunset on December 31, 2021 unless extended by
mutual agreement by the parties.
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§12.21 Maternity and Child Rearing Leave
(a) Maternity and child rearing leave shall be as provided in the
New York State Attendance Rules and the guidelines for
administration of those rules, dated January 28, 1982. However, where
the child is required to remain in the hospital following birth, the
seven-month mandatory child care leave shall, upon employee request,
commence when the child is released from the hospital. If a child is
required to be admitted to a hospital for treatment after child care leave
has commenced, upon employee request, child care leave shall be
suspended during a single continuous period of such hospitalization
and that period shall not count toward calculation of the seven-month
period. In such cases, any entitlement to mandatory child care leave
expires one year from the date of birth of the child.
(b) In cases of legal adoption under Article 7 of the Domestic
Relations Law, leave for child-rearing purposes shall be granted as
provided in the New York State Attendance Rules and the guidelines
for administration of those rules, dated March 11, 1982. However, if a
child is required to be admitted to a hospital for treatment after child
care leave has commenced, upon employee request, child care leave
shall be suspended during a single continuous period of such
hospitalization and that period shall not count toward calculation of the
seven-month period. In such cases, any entitlement to mandatory child
care leave expires one year from the date the child care leave originally
commenced.
ARTICLE 13 Workers' Compensation Benefit
§13.1
(a) Effective on the date of execution of this Agreement,
employees necessarily absent from duty because of an occupational
injury, disease or condition as defined in the Workers' Compensation
Law, shall be eligible for a Workers' Compensation Benefit as
modified in this Article. Determinations of the Workers' Compensation
Board regarding compensability of claims shall be binding upon the
parties.
(b) A workers' compensation injury shall mean any occupational
injury, disease or condition found compensable as defined in the
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Workers' Compensation Law.
§13.2
(a) An employee who suffers a compensable occupational injury
shall be placed on leave of absence without pay for all absences
necessitated by such injury and shall receive the benefit provided by
the Workers' Compensation Law except as modified in this Article.
(b) Effective July 1, 2005, eligible employees who suffer a
disabling incident on or after this date, may be entitled to a
supplemental wage payment not to exceed nine (9) months per injury,
in addition to the statutory wage benefit pursuant to the Workers’
Compensation Law. Supplemental payments will be paid to employees
whose disability is classified by the evaluating physician as “total” or
“marked” and where a Workers’ Compensation Law wage payment is
less than sixty (60) percent of pre-disability wages, so that the total of
the statutory payment and the supplemental payment provided by this
Article equals sixty (60) percent of their pre-disability gross wages.
The pre-disability gross wages are defined as the sum of base annual
salary, location pay, geographic differential, shift differential and
inconvenience pay, received as of the date of the disability.
(c) An employee necessarily absent for less than a full day in
connection with a workers' compensation injury as defined in 13.1(b)
above due to therapy, a doctor's appointment, or other required
continuing treatment, may charge accrued leave for said absences.
(d) The State will make previously authorized payroll deductions
for periods the employee is in pay status receiving salary sufficient to
permit such deductions. The employee is responsible for making
payment for any such deductions during periods of leave without pay,
such as those provided in 13.2(a) above.
§13.3
An employee required to serve a waiting period pursuant to the
Workers' Compensation Law shall have the option of using accrued
leave credits or being placed on leave without pay. Where an employee
charged credits and it is subsequently determined that no waiting
period is required, the employee shall be entitled to restoration of
credits charged proportional to the net monetary award credited to New
York State by the Workers' Compensation Board.
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§13.4
When vacation credits are restored pursuant to this Article and such
restoration causes the total vacation credits to exceed 40 days, a period
of one year from the date of the return of the credits or the date of
return to work, whichever is later, is allowed to reduce the total
accumulation to forty (40) days.
§13.5
(a) An employee receiving workers' compensation payments for a
period of disability found compensable by the Workers' Compensation
Board shall be treated as though on the payroll for the length of the
disability not to exceed twelve (12) months per injury for the sole
purposes of accruing seniority, continuous service, health insurance
and Employee Benefit Fund contributions normally made by the State,
accrual of vacation and sick leave, and personal leave. Additionally,
such employee shall be treated as though on payroll for the period of
disability not to exceed twelve (12) months per injury for the purposes
of retirement credit and contributions normally made by the State
and/or the employee.
(b) Additionally, an employee receiving workers’ compensation
payments for a period of disability found compensable by the Workers’
Compensation Board, which is caused by an assault, shall be treated as
though on the payroll for the length of the disability not to exceed
twenty-four (24) months per injury for the sole purpose of health
insurance and Employee Benefit Fund contributions normally made by
the State.
§13.6
(a) Where an employee's workers’ compensation claim is
controverted by the State Insurance Fund upon the ground that the
disability did not arise out of or in the course of employment, the
employee may utilize leave credits (including sick leave at half pay, as
appropriate) pending a determination by the Workers' Compensation
Board.
(b) If the employee's controverted or contested claim is decided in
the employee's favor, any leave credits charged (and sick leave at half
pay eligibility) shall be restored proportional to the net monetary award
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credited to New York State by the Workers' Compensation Board.
(c) If the employee was in leave without pay status pending
determination of a controverted or contested claim, and the claim is
decided in the employee's favor, the employee shall receive the
benefits in paragraph 13.5 above for the period covered by the award
not to exceed twelve months per injury.
(d) Where a claim for workers' compensation is controverted or
contested by the State Insurance Fund, the parties will abide by the
determination of the Workers’ Compensation Board.
§13.7
(a) If the date of the disabling incident is prior to April 1, 1986, the
benefits available shall be as provided in the 1984-85 State/DC-37
Agreement.
(b) If the date of the disabling incident is on or after April 1, 1986,
and prior to July 1, 1992, the benefits available shall be as provided in
the 1988-91 State/DC-37 Agreement.
(c) If the date of the disabling incident is on or after July 1, 1992,
and prior to July 1, 2005, the benefits available shall be as provided in
the 1999-03 State/DC-37 Agreement.
(d) If the date of the disabling incident is on or after July 1, 2005,
the benefits available shall be as provided herein.
§13.8 Mandatory Alternate Duty
The State shall develop, as soon as possible, a mandatory alternate
duty policy for employees who request or are directed to return to work
after suffering an occupational injury or disease. The mandatory
alternate duty policy will allow management to recall an employee to
duty and will allow an eligible employee to request to return to duty
subject to the eligibility criteria in the policy. The State will meet and
confer with DC-37 in the development of this policy.
§13.9
The State and DC-37 shall establish a committee whose purpose
shall include, but not be limited to, reviewing and making
recommendations on the following: the exploration and development
of a program that provides that Preferred Provider Organizations treat
workers' compensation disabilities; and the exploration and
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development of a program that allows the use of leave accruals.
ARTICLE 14 Verification of Doctor's Statement
(a) When the State requires that an employee who has been absent
due to illness or injury be medically examined by a physician selected
by the appointing authority before such employee is allowed to return
to work, the appointing authority shall make a reasonable effort to
complete a medical examination within 20 working days as hereinafter
provided.
(b) If, no more than ten (10) working days prior to the date
specified by his or her own physician as the date upon which he or she
may return to work, the employee provides the appointing authority
with his or her physician's statement indicating that he or she is able to
return to work and specifying the date, the appointing authority shall
have a total of 20 working days from the date of such advance notice,
which shall include the ten (10) working days' advance notice and the
ten (10) working days following the specified return-to-work date, to
complete a medical examination. For each working day of advance
notice from the employee less than ten (10), the appointing authority
shall have an additional working day beyond the return-to-work date to
complete a medical examination.
(c) If, upon the completion of the 20 working day period provided
for in subdivision (b), the appointing authority's physician has not
completed his or her examination of the employee or reached a
decision concerning the employee's return to work, the employee shall
be placed on leave with pay without charge to leave credits until the
examination is completed and a decision made. The employee may not
return to work, however, until he or she has been examined by the
appointing authority's physician and given approval to work. The leave
with pay provision of this subdivision shall not apply where the failure
of the appointing authority's physician to complete the medical
examination is attributable to the employee's failure to appear for the
examination or his or her refusal to allow it to be held.
(d) If, following his or her examination, the appointing authority's
physician does not approve the employee's return to work, the
employee shall be placed in the appropriate leave status in accordance
with the Attendance Rules. Once a determination has been made that
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an employee may not return to work, further examinations pursuant to
this Article shall not be required more often than once a month;
provided, however, where the appointing authority's physician has
specified a date for a further examination or a date when the employee
may return to work, the State shall not be required to conduct an
examination prior to such date. Where the appointing authority's
physician has not set either a date for further examination or a date
upon which the employee may return to work, the employee may
submit a further statement from his or her physician and the provisions
of this Article shall again be applicable. The provisions of this Article
shall not be construed to limit or otherwise affect the applicability of
Section 73 of the Civil Service Law.
(e) When, in accordance with the provisions of this Article, the
State exercises its right to require an employee to be examined by a
physician selected by the appointing authority, the employee shall be
entitled to reimbursement for actual and necessary expenses incurred
as a result of travel in connection with such examination, including
transportation costs, meals and lodging, in accordance with the
Comptroller's Rules and Regulations pertaining to travel expenses.
ARTICLE 15 Travel and Relocation Expenses
§15.1 Per Diem Meal and Lodging Expenses
The State agrees to reimburse, on a per diem basis as established
by rules and regulations of the Comptroller, as interpreted by the
Comptroller’s Travel Manual, employees who are eligible for travel
expenses, for their expenses incurred while in travel status.
§15.2 Mileage Allowance
Effective on the date of execution of this Agreement, the State
agrees to provide, subject to rules and regulations of the Comptroller,
as interpreted by the Comptroller’s Travel Manual, a maximum
mileage allowance rate equal to the amount established by the Internal
Revenue Service (IRS).
§15.3 Extended Travel
The State agrees to provide $20 additional travel expense
reimbursement for each weekend to employees who are in overnight
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travel status provided they are in overnight travel status at least 300
miles from their home and their official station.
§15.4 Relocation Expenses
During the term of this Agreement, employees in this unit who
qualify for reimbursement for travel and moving expenses upon
transfer, reassignment or promotion (under Section 202 of the State
Finance Law and the regulations thereunder), or for reimbursement for
travel and moving expenses upon initial appointment to State service
(under Section 204 of the State Finance Law and the regulations
thereunder), shall be entitled to payment at the rates provided in the
rules of the Director of the Budget.
§15.5 Travel Determinations
The State shall continue to have the right to require travel by the
means and method it determines to be most economical and/or in the
best interest of the State.
ARTICLE 16 Overtime Meal Allowances
§16.1
Overtime meal allowances shall be paid, subject to rules and
regulations of the Comptroller, to employees when it is necessary and
in the best interest of the State for such employees to work at least
three (3) hours overtime on a regular working day or at least six hours
overtime on other than a regular working day. Employees working at
least six hours overtime on a regular working day or at least nine (9)
hours overtime on other than a regular working day shall receive two
overtime meal allowances.
§16.2
The overtime meal allowance for employees in this unit shall
be $6.00.
§16.3
When the employer provides a meal for an employee working in an
overtime capacity described above, such meal shall be in lieu of an
overtime meal allowance.
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§16.4
The State shall process overtime meal allowances for payment at
the same time as the overtime work payment is processed.
§16.5
Overtime meal allowances shall also be paid, subject to rules and
regulations of the Comptroller, to employees ineligible to receive
overtime compensation when it is necessary and in the best interest of
the State for such employees to work at least three (3) hours overtime
on a regular working day or at least six hours overtime on other than a
regular working day.
ARTICLE 17 Staffing
§17.1 Eligible Lists
In the event the use of an eligible list is stayed pursuant to court
order, upon the removal of such stay such eligible list shall continue in
existence for a period not less than 60 days and for such additional
period as may be determined by the Department of Civil Service,
except that in no event shall such 60-day period extend the life of any
eligible list beyond the statutory limit of four (4) years.
§17.2 Alternate Examination Dates
In the event an employee in this unit is unable to participate in an
examination because of the death, within seven (7) days immediately
preceding the scheduled date of an examination, of any relative or
relative-in-law, or any person with whom the employee has been
making his or her home, such employee shall be given an opportunity
to take such examination at a later date, but in no event shall such
examination be rescheduled sooner than seven (7) days following the
date of death. The Department of Civil Service shall prescribe
appropriate procedures for reporting the death and applying for the
examination. Appropriate arrangements shall be made in circumstances
where there is a protracted period between the death and the burial.
§17.3 Leave - Probationary Employees
(a) A permanent employee holding a position in the competitive or
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non-competitive class who accepts an appointment to a State position
from an open-competitive eligible list shall be granted a leave of
absence from his/her former position for the period of his/her actual
probation.
(b) A permanent employee holding a position in the competitive or
non-competitive class who accepts an appointment to a State position
in the non-competitive class shall be granted a leave of absence from
his/her former position for a period not to exceed fifty-two (52) weeks
or the period of actual probation, whichever is less. Both positions, the
one to which the appointment is being made, and the one from which
the leave is granted, must be under the jurisdiction of the same
appointing authority.
ARTICLE 18 Out-of-Title Work
§18.1
No employee shall be employed under any title not appropriate to
the duties to be performed, and except upon assignment by proper
authority during the continuance of a temporary emergency situation,
no person shall be assigned to perform the duties of any position unless
he or she has been duly appointed, promoted, transferred or reinstated
to such position in accordance with the provisions of the Civil Service
Law, Rules and Regulations.
§18.2
The term "temporary emergency" as used in this Article shall mean
an unscheduled situation or circumstance which is expected to be of
limited duration and either (a) presents a clear and imminent danger to
person or property, or (b) is likely to interfere with the conduct of the
agency's or institution's statutory mandates or programs.
§18.3
(a) A grievance alleging violations of this Article shall be filed
directly at Step 2 by the employee, in writing on forms to be provided
by the State, to the Agency Head or a designee of that Agency Head,
and a copy of the grievance shall be simultaneously filed with the
facility or institution head or a designee. A determination shall be
issued at Step 2 as promptly as possible, but no later than ten (10)
66
working days after receipt of the grievance unless DC-37 or the
employee agrees to an extension of such time limit.
(b) An appeal from an unsatisfactory decision at Step 2 may be
filed by DC-37 through its President or the President's designee with
the Director of the Governor's Office of Employee Relations or the
Director's designee within 10 working days of receipt of the Step 2
decision. Such appeal shall include a copy of the original grievance
and the Step 2 reply.
(c) After receipt of such grievance, the Director of the Governor's
Office of Employee Relations or the Director's designee will promptly
forward it to the Director of Classification and Compensation for a
review and determination as to whether the duties at issue are out-of-
title.
(d) The Director of Classification and Compensation will make
every reasonable effort to complete such review promptly, and will
send to the Director of the Governor's Office of Employee Relations
the findings as to whether the duties at issue are out-of-title.
(e) The Director of the Governor's Office of Employee Relations,
or the Director's designee, shall issue a Step 3 determination forthwith
upon receipt of the determination of the Director of Classification and
Compensation based on the following:
(1) The findings of the Director of Classification and
Compensation as to whether the duties at issue are out-of-title.
(2) If the Director of Classification and Compensation has
determined the duties at issue to be out-of-title, a review by the
Director of the Governor's Office of Employee Relations, or the
Director's designee, of whether temporary emergency circumstances
exist which make the assignment of such out-of-title duties
appropriate.
(f) If the Director of Classification and Compensation finds the
duties at issue to be out-of-title, and the Director of the Governor's
Office of Employee Relations, or the Director's designee, finds that no
temporary emergency circumstances exist, the Step 3 determination
shall direct that out-of-title assignment be discontinued.
§18.4
(a) If such out-of-title duties are found to be appropriate to a lower
salary grade or to the same salary grade as that held by the affected
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employees, no monetary award may be issued.
(b) If, however, such out-of-title duties are found to be appropriate
to a higher salary grade than that held by the affected employee, the
Director of the Governor's Office of Employee Relations, or the
Director's designee, shall issue an award of monetary relief, provided
that (a) the assignment to perform such duties was made on or after
April 1, 1984, and (b) the affected employee has performed work in the
out-of-title assignment for a period of one or more days. And, in such
event, the amount of such monetary relief shall be the difference
between what the affected employee was earning at the time he/she
performed such work and what he or she would have earned at that
time in the higher salary grade title, but in no event shall such
monetary award be retroactive to a date earlier than fifteen (15)
calendar days prior to the date the grievance was filed in accordance
with this Article.
(c) If such out-of-title duties were assigned by proper authority
during the continuance of a temporary emergency situation, the
Director of the Governor's Office of Employee Relations, or the
Director's designee, shall dismiss the grievance.
(d) After receipt of the Step 3 decision, DC-37 may, where it
alleges additional facts or existence of a dispute of fact, within thirty
(30) calendar days of the date of the decision, file an appeal with the
Director of the Governor's Office of Employee Relations. Such appeal
shall include documentation to support the factual allegations. The
appeal shall then be forwarded by the Director of the Governor's Office
of Employee Relations to the Director of Classification and
Compensation for reconsideration. The Director of Classification and
Compensation shall reconsider the matter and shall, within thirty (30)
calendar days, forward an opinion to the Director of the Governor's
Office of Employee Relations. The latter shall act upon such opinion in
accordance with the provisions of Sections 18.3(e) and (f), and
Sections 18.4(a), (b), and (c) above.
(e) Grievances hereunder may be processed only in accordance
with this Article and shall not be arbitrable.
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ARTICLE 19 Working Conditions - Safety
§19.1
A Joint State/DC-37 Safety and Health Committee shall be
established to identify and review safety-related issues affecting
employees and to recommend plans for the correction of such matters.
Specific subjects to be studied by this Committee may include, but are
not limited to, the following:
(a) Fire alarm systems;
(b) Emergency evacuation of employees from work areas;
(c) Availability and adequacy of first aid kits;
(d) Provision of special safety equipment and clothing;
(e) Transportation of sick or injured employees;
(f) Workplace temperatures/air quality;
(g) Imminent danger situations;
(h) Minimizing/eliminating hazards;
(i) Ergonomics; and
(j) Workplace safety.
§19.2
All matters relating to safety and health, including but not limited
to those listed above, shall be considered appropriate matters for
discussion and recommended resolution by local and department level
labor/management committees. A labor/management committee or the
State/DC-37 Safety and Health Committee considering a safety issue
may refer the matter in whole or in part to a labor/management
committee at any level or the State/DC-37 Safety and Health
Committee for assistance in resolving the matter and for advice on
implementing recommendations.
ARTICLE 20 Review of Personal History Folder
§20.1
There shall be only one official personal history file maintained for
any employee.
§20.2
An employee shall have the opportunity to review his/her personal
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history folder in the presence of an appropriate official of the
department or agency within five working days' notice; provided,
however, where the employee's personal history folder is kept at a
location other than the employee's place of work, eight (8) working
days' notice shall be required, and to place in such file a response of
reasonable length to anything contained therein which such employee
deems to be adverse. Where such review is requested in connection
with a pending disciplinary action or a pending grievance, every
reasonable effort should be made to schedule the review within a time
period that will permit adherence to the time requirements of the
grievance or discipline procedure. The personal history folder shall
contain all memoranda or documents relating to such employee's job
performance which contain criticism, commendation, appraisal or
rating of such employee's performance on the job. Copies of such
memoranda or documents shall be sent to such employee
simultaneously with their being placed in the personal history folder.
§20.3
An employee shall be permitted to be accompanied by a DC-37
Steward or other DC-37 representative during the review of the
personal folder pursuant to this Article.
§20.4
Upon an employee's written request, material over three (3) years
old shall be removed from the personal history folder, except work
performance evaluations, personnel transactions, pre-employment
materials and notices of discipline and all related records, provided,
however, that notices of discipline wherein the final determination is
that the employee is completely absolved of guilt shall be removed
after three (3) years upon the employee's written request.
ARTICLE 21 Protection of Employees
§21.1
(a) There shall be no loss of present employment by permanent
employees as a result of the State's exercise of its right to contract out
for goods and services.
(b) Notwithstanding the provision of Article 21.1(a), permanent
70
employees affected by the State's exercise of its right to contract out
for goods and services will receive 60 days written notice of intended
separation and will be offered a redeployment option as provided for in
Appendix E(a), but where such redeployment option is not able to be
offered and where no displacement rights as provided for in Civil
Service Law Sections 80 and 80-a are available, the affected
permanent employee shall be offered the opportunity to elect one of
the following transition benefits:
(i) a financial stipend for an identified retraining or educational
opportunity as provided for in Appendix E(b); or
(ii) severance pay as provided for in Appendix E(c); or
(iii) the employee opts for and obtains preferential employment with
the contractor at the contractor's terms and conditions, if available.
(c)(1) The transition benefits set forth above shall not apply to an
affected permanent employee, and the State's obligation under this
Article to said employee shall cease, if an affected permanent
employee declines a primary redeployment opportunity as provided for
in Appendix C(a), or if the affected permanent employee declines a
displacement opportunity pursuant to his/her displacement rights as
provided for in Civil Service Law Sections 80 and 80-a, in his/her
county of residence or county of current work location.
(2) An affected permanent employee who elects a transition benefit
as provided for in Section 21.1(b) above shall be eligible for placement
on preferred lists and reemployment rosters as provided for in Civil
Service Law Sections 81 and 81-a and other applicable Civil Service
Laws, Rules and Regulations.
§21.2
No permanent employee will suffer reduction in existing salary as a
result of reclassification or reallocation of the position the employee
holds by permanent appointment.
§21.3
A State/DC-37 Employment Security Committee shall jointly study
and attempt to resolve matters of mutual concern regarding work force
planning, which may include the joint recommendation of
demonstration projects to address identified issues, and to review
matters relative to redeployment of employees affected by the State's
71
exercise of its right to contract out. The Committee is not intended to
be policy-making or regulatory in nature; rather, it is intended to be
advisory on matters of work force planning.
The parties recognize that work force planning is a workplace
issue. As such, a cooperative working relationship will be encouraged
between all State employee negotiating units and the State.
ARTICLE 22 Layoffs in Non-Competitive Class
§22.1
Permanent non-competitive class employees in this negotiating
unit, if laid off, will be laid off within title on the basis of seniority,
provided, however, that such employees shall not gain greater rights
than they would have if they were covered by the provisions of
Sections 80 and 81 of the Civil Service Law, and provided, further,
however, that this provision does not extend to these employees
coverage under Civil Service Law Section 75 or Article 33 of the
Agreement with DC-37.
§22.2
Where under current layoff law and procedures permanent
employees are to be laid off within a given layoff unit and there are
provisional or temporary employees in the same title in another layoff
unit not projected for layoff, such provisional or temporary employees
will be displaced in order to provide continued employment for those
affected permanent employees. The State will manage centrally the
placement of the affected permanent employees.
§22.3
Permanent non-competitive class employees with one year of
continuous non-competitive service immediately prior to layoff shall
be accorded the same rights at layoff as well as placement roster,
preferred list and reemployment roster rights, as employees covered by
State Civil Service Law Sections 75.1(c), 80-a, 81, 81-a and 81-b.
72
ARTICLE 23 Labor/Management Meetings
§23.1
The Director of Employee Relations or the Director's designees
shall meet with the President of DC-37 or the President's designees at
mutually agreed upon times to discuss and attempt to resolve matters
of mutual concern. At the request of the other party, each party shall
submit a written agenda at least seven (7) days in advance of the
meeting.
§23.2
The Commissioner of Homes and Community Renewal, or the
Commissioner's designees, shall meet with DC-37 representatives
periodically to discuss and attempt to resolve matters of mutual
concern. Such meetings shall be held at times mutually agreed to, but
shall be held no less frequently than bi-annually. Subjects which may
be discussed at such meetings may include questions concerning
implementation and administration of this Agreement which are
department- or agency-wide in nature, and distribution and posting of
civil service examination announcements. The issues of alternate work
schedules and flex-time shall be appropriate subjects of discussion in
such meetings. Written agenda shall be exchanged by the parties no
less than seven (7) days before the scheduled date of each meeting. At
the time of the meeting additional subjects for discussion may be
placed on the agenda by mutual agreement.
§23.3
The results of a labor-management meeting held pursuant to this
Article shall not contravene any term or provision of this Agreement
or exceed the authority of the management at the level at which the
meeting occurs. The results of such meetings may, by mutual
agreement, be placed in writing in the form of memoranda or
correspondence between the parties, but such results shall not be
subject to the provisions of Article 31, Grievance and Arbitration.
§23.4
The Director of Employee Relations and the President of DC-37,
or their designees, shall provide assistance to facilitate resolution of
73
matters which are the subject of discussion and/or implementation of
agreed to matters in labor-management meetings held under this
Article and which remain unresolved.
§23.5
The State and DC-37 agree to cooperatively explore, develop, and,
where appropriate, implement jointly the principles and philosophy of
total quality management, as embodied in the State's Quality through
Participation initiative, and/or other such initiatives.
ARTICLE 24 Distribution of Directives, Bulletins or
Instructions
A copy of any directive, bulletin or instruction that is issued or
published by an agency for the information or compliance of all
employees will be supplied to the local DC-37 designee.
ARTICLE 25 Emergency First Aid
At a facility where appropriate medical staff and facilities are
normally available, when a medical emergency resulting from an
injury or sudden illness occurs to an employee while on the premises,
the injured or ill employee should be given emergency first aid by any
qualified staff member who is on duty and reasonably available for
medical duties. The employee will be assisted in arranging
transportation as necessary to a general hospital, clinic, doctor or other
location for more complete treatment, as appropriate.
ARTICLE 26 No Discrimination
§26.1
DC-37 agrees to continue to admit all employees to membership
and to represent all employees without regard to race, creed, color,
national origin, age, sex or handicap.
§26.2
The State agrees to continue its established policy against all forms
74
of illegal discrimination with regard to race, creed, color, national
origin, sex, age or handicap, or the proper exercise by an employee of
the rights guaranteed by the Public Employees' Fair Employment Act.
§26.3
The State and DC-37 shall form a Joint Affirmative Action
Advisory Committee which shall develop appropriate
recommendations on matters of mutual interest in the areas of equal
employment and affirmative action.
ARTICLE 27 Seniority
§27.1 Definition
For purposes of this Agreement, seniority shall be defined as the
length of an employee's continuous State service, whether part-time or
full-time, from the date of original appointment in the classified
service on a permanent basis. An employee who has resigned and who
has been reinstated or reappointed in the service within one year
thereafter shall be deemed to have continuous service for purposes of
determining seniority. A period of employment on a temporary or
provisional basis or in the unclassified service, immediately preceded
and followed by permanent service in the classified service shall not
constitute an interruption of continuous service for determining
seniority nor shall a period of authorized leave without pay or any
period during which employees suspended from their position pursuant
to Section 80 or Section 80(a) of the Civil Service Law.
§27.2 Application
(a) In the event that more employees request the same vacation
time off than can be reasonably spared for operating reasons, vacation
time off will be granted to such employees who can reasonably be
spared, in order of seniority.
(b) When the qualifications, training or any other factors which
best serve the interests of the service to be rendered (including the
subspecialties within the services to be rendered) are equal, seniority
will be a factor in the assignment of overtime and voluntary transfers.
§27.3 Seniority Lists
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As soon as practicable in advance of the abolishment of any
positions filled by permanent competitive class appointments, the State
shall provide DC-37 with seniority lists of employees in the title(s) and
agency(s) affected. It is understood by the parties that failure to comply
with this provision shall not constitute a basis for preventing or
delaying the job abolishment, nor shall failure to comply entitle
displaced employees to any compensation or other monetary benefits
they would otherwise not have been entitled to receive.
ARTICLE 28 Workday and Workweek
§28.1
The standard workday of full-time employees in this unit shall be 7
1/2 hours, exclusive of a meal break. Such days shall commence
between 6:00 AM and 10:00 AM.
§28.2
The standard workweek of full-time employees in this unit shall be
37 1/2 hours, consisting of five (5) consecutive working days.
§28.3
With written notice to DC-37 at the appropriate level, the State
shall be able to change the workday and/or workweek, established
pursuant to Sections 28.1 and 28.2 of this Article, with the consent of
the employees affected, or in an emergency. Such changes and/or the
establishment of new shifts may also be made with advance written
notice and consultation with DC-37. This consultation shall occur at
the appropriate level and shall include the local DC-37 President
and/or the recognized DC-37 designee for the agency. Employees
affected by the change, except in emergencies, shall be provided with a
minimum of 30-days' written notice prior to the effective date of the
change.
§28.4
There shall be no rescheduling of days off or tours of duty to avoid
the payment of overtime compensation except upon two-weeks notice.
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ARTICLE 29 Indemnification
§29.1
The Employer acknowledges its obligation to provide for the
defense of its employees, and to save harmless and indemnify such
employees from financial loss as hereinafter provided, to the broadest
extent possible consistent with the provisions of Section 17 of the
Public Officers Law in effect upon the date of the execution of this
Agreement.
§29.2
The Employer agrees to provide for the defense of employees as
set forth in subdivision two of Section 17 of the Public Officers Law in
any civil action or proceeding in any State or Federal court arising out
of any alleged act or omission which occurred or is alleged in the
complaint to have occurred while employees were acting within the
scope of their public employment or duties, or which is brought to
enforce a provision of section 1981 or 1983 of title 42 of the United
States Code. This duty to provide for a defense shall not arise where
such civil action or proceeding is brought by or on behalf of the State,
provided further, that the duty to defend or indemnify and save
harmless shall be conditioned upon:
(i) delivery to the Attorney General or an assistant attorney general at
an office of the Department of Law in the State by the employees of
the original or a copy of any summons, complaint, process, notice,
demand or pleading within five (5) days after they are served with such
document, and
(ii) the full cooperation of such employees in the defense of such
action or proceeding and in defense of any action or proceeding against
the State based upon the same act or omission, and in the prosecution
of any appeal. Such delivery shall be deemed a request by such
employees that the State provide for their defense pursuant to this
section.
§29.3
The Employer agrees to indemnify and save harmless its
employees as set forth in subdivision three (3) of Section 17 of the
Public Officers Law in the amount of any judgment obtained against
77
such employees in any State or Federal court, or in the amount of any
settlement of a claim, provided that the act or omission from which
such judgment or settlement arose, occurred while the employees were
acting within the scope of their public employment or duties; the duty
to indemnify and save harmless prescribed by this Section shall not
arise where the injury or damage resulted from intentional wrongdoing
or recklessness on the part of the employees, provided further, that
nothing contained herein shall authorize the State to indemnify or save
harmless an employee with respect to punitive or exemplary damages,
fines or penalties, or money recovered from an employee pursuant to
Article 7(a) of the State Finance Law.
§29.4
Employees shall inform their supervisor when they inform the
Attorney General of the services they have received under paragraphs
29.1, 29.2 or 29.3 above.
§29.5
The State shall prepare, secure introduction and recommend
passage by the Legislature of appropriate and necessary legislation to
continue the provisions of Section 19 of the Public Officers Law, to
amend Section 19 to provide coverage for reimbursement of costs of
employees for reasonable attorneys' fees for appearances before a
grand jury arising out of any act which occurred while such employee
was acting within the scope of his or her employment or duties and to
amend Section 17 of the Public Officers Law to provide that the State
shall provide a defense for employees in any civil action or proceeding
brought pursuant to Section 1981 or Section 1983 of Title 42 of the
United States Code arising out of an act or omission which occurred or
is alleged to have occurred while the employee was acting within the
scope of his or her public employment or duties.
ARTICLE 30 Credit Union Space
The State agrees to grant to credit unions of State employees
occupying space in office buildings of the State on April 1, 1973 the
use of their existing space without rental or other charge during the
continuance of their services as such credit union and during the State's
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occupancy of the building, subject to their compliance with all
appropriate rules and requirements of the building operation and
maintenance. In consideration of said continuance of existing
occupancy by credit unions, DC-37 expressly agrees that no claim by
any credit union or other organization of State employees for any
additional space under the jurisdiction or control of the State, except
relocations of such credit unions to equivalent space in other state-
owned buildings, shall hereafter constitute a term or condition of
employment under any agreement between DC-37 and the State
pursuant to Article 14 of the Civil Service Law.
ARTICLE 31 Grievance and Arbitration Procedure
§31.1 Definition of Grievance
(a) A contract grievance is a dispute concerning the interpretation,
application or claimed violation of a specific term or provision of this
Agreement. Other disputes which do not involve the interpretation,
application, or claimed violation of a specific term or provision of this
Agreement including matters as to which other means of resolution are
provided or foreclosed by this Agreement, or by statute or
administrative procedures applicable to the State, shall not be
considered contract grievances. A contract grievance does not include
matters involving the interpretation, application or claimed violation of
an agreement reached pursuant to any previously authorized
departmental negotiations.
(b) Any other dispute or grievance concerning a term or condition
of employment which may arise between the parties or which may
arise out of an action within the scope of authority of a department or
agency head and which is not covered by this Agreement shall be
processed up to and including Step 3 of the grievance procedure,
except those issues for which there is a review procedure established
by law or pursuant to rules or regulations filed with the Secretary of
State.
§31.2 Requirements for Filing Contract Grievances
(a) A contract grievance shall be submitted, in writing, on forms to
be provided by the State.
(b) Each contract grievance shall identify the specific provision of
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the Agreement alleged to have been violated and shall contain a short
plain statement of the grievance, the facts surrounding it, and the
remedy sought.
(c) Upon agreement of the State and DC-37, DC-37 shall have the
right to initiate at Step 2 a grievance involving more than one
employee.
(d) If the contract grievance identifies Article 39, Benefits
Guaranteed, as the provision allegedly violated the particular law, rule
or regulation at issue shall be specified.
(e) Upon agreement of the State and DC-37, DC-37 shall have the
right to initiate a grievance alleging a violation of the Agreement by
the Governor’s Office of Employee Relations directly to Step 3 of the
grievance process.
§31.3 Representation
DC-37 shall have the exclusive right to represent any employee or
employees, upon their request, at any Step of the grievance procedure,
provided, however, individual employees may represent themselves in
processing grievances at Steps 1 through 2.
§31.4 Grievance Steps
Prior to initiating a formal written grievance pursuant to this
Article, an employee or DC-37 is encouraged to resolve disputes
subject to this Article informally with the appropriate immediate
supervisor.
(a) Step One: The employee or DC-37 shall present the grievance
to the division head or a designated representative not later than 30
calendar days after the date on which the act or omission giving rise to
the grievance occurred. The division head or designated representative
shall meet with the employee or DC-37, and shall issue a short plain
written statement of reasons for the decision to the employee or
DC-37, not later than 20 working days following the receipt of the
grievance.
(b) Step Two: An appeal from an unsatisfactory decision at Step 1
shall be filed by the employee or DC-37, on forms to be provided by
the State, with the agency head or the designee within ten (10) working
days of the receipt of the Step 1 decision. Such appeal shall be in
writing and shall include a copy of the grievance filed at Step 1, a copy
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of the Step 1 decision and a short plain written statement of the reasons
for disagreement with the Step 1 decision. The agency head or a
designee shall meet with the employee or DC-37 for a review of the
grievance and shall issue a short, plain written statement of reasons for
the decision to the employee or DC-37, as appropriate no later than 20
working days following receipt of the Step 1 appeal.
(c) Step Three: An appeal from an unsatisfactory decision at Step 2
shall be filed by DC-37 through its President or the President's
designee, on forms to be provided by the State with the Director of the
Governor's Office of Employee Relations, or the Director's designee,
within 15 working days of the receipt of the Step 2 decision. Such
appeal shall be in writing, and shall include a copy of the grievance
filed at Step 1, and a copy of all prior decisions and appeals, and a
short, plain written statement of the reasons for disagreement with the
Step 2 decision. The Director of the Governor's Office of Employee
Relations, or the Director's designee, shall issue a short, plain written
statement of reasons for the decision within 15 working days after
receipt of the appeal. A copy of said written decision shall be
forwarded to the President of DC-37, or the President's designee.
(d) Step Four Arbitration:
(1) Contract grievances which are appealable to arbitration
pursuant to the terms of this Article may be appealed to arbitration by
DC-37, by its President, or the President's designee by filing a demand
for arbitration upon the Director of the Governor's Office of Employee
Relations within 15 working days of the receipt of the Step 3 decision.
(2) The demand for arbitration shall identify the grievance, the
department or agency involved, the employee or employees involved,
and the specific term or provision of the Agreement alleged to have
been violated.
(3) As soon as practicable, the parties will select by mutual
agreement, a panel of arbitrators to serve for the term of this
Agreement. After receipt of the demand for arbitration, the parties shall
meet to select an arbitrator from this panel. The essential method of
selection of the arbitrator for a particular case shall be by agreement
and, if the parties are unable to agree, the arbitrator shall be assigned
from this panel on a rotating basis. Initial assignment for rotation shall
be determined by lot.
(4) Arbitrators shall have no power to add to, subtract from or
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modify the terms or provisions of this Agreement. They shall confine
their decision and award solely to the application and/or interpretation
of this Agreement. The decision and award of the arbitrator shall be
final and binding consistent with the provisions of CPLR Article 75.
(5) Arbitrators shall confine themselves to the precise issue or
issues submitted for arbitration and shall have no authority to
determine any other issues not so submitted to them nor shall they
make observations or declarations of opinion which are not essential in
reaching the determination.
(6) In the event that the demand for arbitration filed by DC-37
specifies a different term or provision of the Agreement alleged to
have been violated than specified at the submission of the grievance at
Step 1, the grievance shall be remanded to Step 3 for processing in
accordance with this Article.
(7) All fees and expenses of the arbitrator shall be divided equally
between the parties. Each party shall bear the cost of preparing and
presenting its own case.
(8) Any party requesting a transcript at an arbitration hearing may
provide for one at its expense and, in such event, shall provide a copy
to the arbitrator and the other party without cost.
(9)(a) The arbitration hearing shall be held within 60 working days
after receipt of the demand for arbitration except, on a case-by-case
basis, when the Director of the Governor's Office of Employee
Relations or the Director's designee notifies the President of DC-37 or
the President's designee that circumstances preclude such scheduling.
(b) The arbitration decision and award shall be issued within 30
calendar days after the hearing is closed by the arbitrator.
§31.5 Procedures Applicable to Grievance Steps
(a) Steps 1 and 2 shall be informal and the grievant and/or DC-37
shall meet with the appropriate step representative for the purpose of
discussing the grievance, and attempting to reach a resolution.
(b) No transcript is required at any Step. However, either party may
request that the review at Step 2 only be tape-recorded at its expense
and shall provide a copy of such tape-recording to the other party.
(c) Step 3 is intended primarily to be a review of the existing
grievance file; provided, however, that additional exhibits and
evidence may be submitted in writing.
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(d) Any meeting required by this Article may be mutually waived.
(e) All of the time limits contained in this Article may be extended
by mutual agreement. Extensions shall be confirmed in writing by the
party requesting them. Upon failure of the State, or its representatives,
to provide a decision within the time limits provided in this Article, the
grievant or DC-37 may appeal to the next step. Upon failure of the
grievant, or grievant's representative, to file an appeal within the time
limits provided in this Article, the grievance shall be deemed
withdrawn.
(f) A settlement of or an award upon a contract grievance may or
may not be retroactive as the equities of each case demand, but in no
event shall such a resolution be retroactive to a date earlier than 30
days prior to the date the contract grievance was first presented in
accordance with this Article, or the date the contract grievance
occurred, whichever is the later date.
(g) A settlement of a contract grievance in Steps 1 through 3 shall
constitute precedent in other and future cases only if the Director of the
Governor's Office of Employee Relations and the President of DC-37
agree, in writing, that such settlement shall have such effect.
(h) The State shall supply in writing, with each copy of each step
response, the name and address of the person to whom any appeal must
be sent, and a statement of the applicable time limits for filing such an
appeal.
(i) All contract grievances, appeals, responses and demands for
arbitration shall be submitted by certified mail, return receipt
requested, or by personal service. All time limits set forth in this
Article shall be measured from the date of certified mailing or of
receipt by personal service. Where submission is by certified mail, the
date of mailing shall be that date appearing on the postal receipt.
(j) Working days shall mean Monday through Friday, excluding
holidays.
(k) The State and DC-37 shall prepare, secure introduction and
recommend passage by the legislature of such legislation as may be
appropriate and necessary to establish a special appropriation fund to
be administered by the Department of Audit and Control to provide for
prompt payments of settlements reached or arbitration awards issued
pursuant to this Article.
(l) The purpose of this Article is to provide a prompt, equitable
83
and efficient procedure to review grievances filed by an employee or
DC-37. Both the State and DC-37 recognize the importance of the
reasonable use of and resort to the procedure provided by this Article
and the timely issuance of decisions to filed grievances among other
aspects of the procedure provided by this Article. Representatives of
the Governor's Office of Employee Relations and DC-37 shall meet at
mutually agreed upon times to discuss and take the necessary steps to
resolve matters of mutual concern in the implementation and
administration of this procedure.
(m) A claimed failure to follow the procedural provisions of
Article 33, Discipline Procedure, shall be reviewable in accordance
with the provisions contained in that Article.
(n) The State shall initiate contract grievances against DC-37
directly at Step Four.
ARTICLE 32 Resignation
§32.1
Employees who are advised that they are alleged to have been
guilty of misconduct or incompetency and who are therefore requested
to resign shall be given a statement written on the resignation form
that:
(1) They have a right to consult a representative of DC-37 or an
attorney or the right to decline such representation before executing the
resignation, and a reasonable period of time to obtain such
representation, if requested, will be afforded for such purpose;
(2) They may decline the request to resign and that in lieu thereof,
a notice of discipline must be served upon them before any disciplinary
action or penalty may be imposed pursuant to the procedure provided
in Article 33 of the Agreement between the State and DC-37;
(3) In the event a notice of discipline is served, they have the right
to object to such notice by filing a grievance;
(4) The disciplinary grievance procedure terminates in binding
arbitration;
(5) They would have the right to representation by DC-37 or an
attorney at every step of the procedure; and,
(6) They have the right to refuse to sign the resignation and their
refusal in this regard cannot be used against them in any subsequent
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proceeding.
§32.2
A resignation which is requested and secured in a manner which
fails to comply with this procedure shall be null and void.
§32.3 Unauthorized Absence
(a) Any employee absent from work without authorization for 14
consecutive calendar days shall be deemed to have resigned from his
or her position if he or she has not provided a satisfactory explanation
for such absence on or before the 15th calendar day following the
commencement of such unauthorized absence.
(b) Prior to the conclusion of this 15-day period, the appointing
authority shall notify the employee and the DC-37 Local President by
certified mail, return receipt requested, that his or her absence is
considered unauthorized and would be deemed to constitute
resignation pursuant to Article 32.
(c) Within 15 calendar days commencing from the 15th
consecutive day of absence from work without authorization, an
employee may submit an explanation concerning his or her absence, to
the appointing authority. The burden of proof shall be upon the
employee to establish that it was not possible for him or her to report to
work or notify the appointing authority, or the appointing authority's
designee, of the reason for his or her absence. The appointing authority
shall issue a short response within five (5) calendar days after receipt
of such explanation. If the employee is not satisfied with the response,
DC-37, upon the employee's request, may appeal the appointing
authority's response to the Governor's Office of Employee Relations
within five (5) calendar days after receipt of the appointing authority's
response. The Director of the Governor's Office of Employee
Relations, or the Director's designee, shall issue a written response
within five (5) calendar days after receiving such appeal.
Determinations made pursuant to this subsection shall not be
arbitrable.
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ARTICLE 33 Discipline
§33.1 Applicability
The disciplinary procedure set forth in this Article shall be in lieu
of the procedure specified in Sections 75 and 76 of the Civil Service
Law and shall apply to all persons currently subject to Sections 75 and
76 of the Civil Service Law. In addition, it shall apply to those
noncompetitive class employees described in Section 75(1)(c) of the
Civil Service Law who, since last entry into State service, have
completed at least two (2) years of continuous service in the non-
competitive class, or who were appointed to a non-competitive class
position as described in Section 75(1)(c) of the Civil Service Law on or
after April 1, 1979 and have completed at least one year of continuous
service in such position.
§33.2 Purpose
The purpose of this Article is to provide a prompt, equitable and
efficient procedure for the imposition of discipline for just cause. Both
parties to this Agreement recognize the importance of counseling and
the principle of corrective discipline. Prior to initiating formal
disciplinary action pursuant to this Article, the appointing authority, or
the authority's designee, is encouraged to resolve matters informally;
provided, however, such informal action shall not be construed to be a
part of the disciplinary procedure contained in this Article and shall not
restrict the right of the appointing authority, or the designee, to consult
with or otherwise counsel employees regarding their conduct or to
initiate disciplinary action.
§33.3 Employee Rights
(a) Employees may represent themselves or be accompanied for
purposes of representation by DC-37 or an attorney, at meetings or
hearings held pursuant to the disciplinary procedure set forth in Section
33.5, and when, as provided in subdivision (b) or (c) below, the
employee is required to submit to an interrogation or requested to sign
a statement. Unless the employee declines representation, a reasonable
period of time shall be given to obtain a representative. If the employee
requests representation and the employee or DC-37 fails to provide a
representative within a reasonable period of time, the meetings or
86
hearings under the disciplinary procedure may proceed, an
interrogation as provided in subdivision (b) below may proceed, or, the
employee may be requested to sign a statement as provided in
subdivision (c) below. An arbitrator under this Article shall have the
power to find that a delay in providing a representative may have been
unreasonable. Where an employee elects to be represented by DC-37
exclusively, the DC-37 representative assigned by DC-37, if a State
employee, shall not suffer any loss of earnings or be required to charge
leave credits for absence from work as a result of accompanying an
employee for purposes of representation as provided in this
subdivision.
(b) An “interrogation” shall be defined to mean the questioning of
an employee who, at the time of the questioning, has been determined
to be a likely subject for disciplinary action. The routine questioning of
an employee by a supervisor or other representative of management to
obtain factual information about an occurrence, incident or situation or
the requirement that an employee submit an oral or written report
describing an occurrence, incident or situation, shall not be considered
an interrogation. If during the course of such routine questioning or
review of such oral or written report, the questioner or reviewer
determines that the employee is a likely subject for disciplinary action,
the employee shall be so advised. An employee shall be required to
submit to an interrogation by a department or agency
(1) if the information sought is for use against such employee in a
disciplinary proceeding pursuant to this Article, or (2) after a notice of
discipline has been served on such employee, only if the employee has
been notified, in advance of the interrogation, of the rights to
representation as provided in subdivision (a) above. If an employee is
improperly subjected to interrogation in violation of the provisions of
this subdivision (b), no information obtained solely through such
interrogation shall be used against the employee in any disciplinary
action. No recording device shall be used nor shall any stenographic
record be taken during an interrogation unless the employee is advised
in advance that a record is being made. A copy of any formal record
shall be supplied to the employee upon request.
(c) No employee who has been served with a notice of discipline
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pursuant to Section 33.5, or who has been determined to be a likely
subject for disciplinary action, shall be requested to sign any statement
regarding a matter which is the subject of a disciplinary action under
Section 33.5 of this Article unless offered the right to have a
representative of DC-37 or an attorney present and, if he or she
requests such representation, is afforded a reasonable period of time to
obtain a representative. A copy of any statement signed by an
employee shall be supplied to him or to her. Any statements signed by
an employee without having been so supplied to him or her may not
subsequently be used in a disciplinary proceeding.
(d) In all disciplinary proceedings under Section 33.5, the burden
of proof that discipline is for just cause shall rest with the employer.
Such burden of proof, even in serious matters which might constitute a
crime, shall be preponderance of the evidence on the record and shall
in no case be proof beyond a reasonable doubt.
(e) An employee shall not be coerced, intimidated or caused to
suffer any reprisals, either directly or indirectly, that may adversely
affect wages or working conditions as the result of the exercise of the
rights under this Article.
§33.4 Suspension or Temporary Reassignment
Before Notice of Discipline
(a) Prior to the service of a notice of discipline or the completion of
the disciplinary procedure set forth in Section 33.5, an employee may
be suspended without pay or temporarily reassigned by the appointing
authority, or the authority's designee, in his or her discretion, only
pursuant to paragraphs (1) and (2) of this subdivision.
(1) The appointing authority or his or her designee may, in his or
her discretion, suspend an employee without pay or temporarily
reassign him or her when a determination is made that there is probable
cause that such employee's continued presence on the job represents a
potential danger to persons or property or would interfere with
operations. A notice of discipline shall be served no later than fourteen
(14) calendar days following any such suspension or temporary
reassignment.
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(2) The appointing authority or his or her designee, in his or her
discretion, may suspend without pay or temporarily reassign an
employee charged with the commission of a crime. Such employee
shall notify the appointing authority in writing that there has been a
disposition of a criminal charge within seven (7) calendar days thereof.
Within 30 calendar days following such suspension under this
paragraph, or within fourteen (14) calendar days from receipt by the
appointing authority of notice of disposition of the charge from the
employee, whichever occurs first, a notice of discipline shall be served
on such employee or such employee shall be reinstated with back pay.
Where the employee who is charged with the commission of a crime is
temporarily reassigned, the notice of discipline shall be served on such
employee within fourteen (14) days after the disposition of the criminal
charges or the employee shall be returned to his or her regular
assignment. Nothing in this paragraph shall limit the right of the
appointing authority or the authority's designee to take disciplinary
action during the pendency of criminal proceedings. Nothing in this
paragraph shall preclude the application of the provisions in Section
33.4(b).
(b) Temporary Reassignment
(1) Where the appointing authority has determined that an employee is
to be temporarily reassigned pursuant to this Article, the employee
shall be notified in writing of the location of such temporary
reassignment and the fact that such reassignment may involve the
performance of out-of-title work. The employee may elect in writing to
refuse such temporary reassignment and be suspended without pay.
Such election must be made in writing before the commencement of
the temporary assignment. An election by the employee to be placed
on a suspension without pay is final and may not thereafter be
withdrawn. Once the employee commences the temporary assignment,
no election is permitted.
(2) The fact that the State has temporarily reassigned an employee
rather than suspending him or her without pay or the election by an
employee to be suspended without pay rather than be temporarily
reassigned shall not be considered by the disciplinary arbitrator for any
89
purpose.
(3) Temporary reassignments under this Section shall not involve a
change in the employee's rate of pay.
(c) (1) Suspensions without pay and temporary reassignments made
pursuant to this Section shall be reviewable by a disciplinary arbitrator
in accordance with provisions of Section 33.5 to determine whether the
appointing authority had probable cause.
(2) Where an employee has been suspended without pay or
temporarily reassigned he or she may, in writing, waive the agency
level meeting at the time of filing a disciplinary grievance. In the event
of such waiver, the employee shall file the grievance form within the
prescribed time limits for filing an agency-level grievance directly with
the Governor's Office of Employee Relations, Disciplinary Panel
Administration, Corporate Plaza East, Suite 502, 240 Washington
Avenue Extension, Albany, NY 12203, ATTN: Panel Administrator or
by fax or email with a read receipt to [email protected] in
accordance with Section 33.5. The Disciplinary Panel Administrator
shall give the case priority assignment and shall forthwith set the
matter down for hearing to be held within 14 calendar days of the
filing of the demand for arbitration. The time limits may not be
extended.
(3) In the instance where an employee is suspended without pay or
temporarily reassigned, and the hearing will extend beyond one day,
the parties may jointly authorize the arbitrator to issue an interim
decision and award solely with respect to the issue of whether there
was probable cause for the suspension or temporary reassignment.
(4) Within five (5) calendar days of any suspension without pay or
temporary reassignment pursuant to this section, the designee of the
President of DC-37 shall be sent a notice advising him or her, in
writing, of such suspension without pay or temporary reassignment.
Such notice shall be sent by email with a read receipt, where available,
and regular first class mail.
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(d) In the event of a failure to serve a notice of discipline within the
time limits established in Section 33.4(a), the employee shall be
deemed to have been suspended without pay as of the date of service
of the notice of discipline or, in the event of a temporary reassignment,
may return to his or her actual assignment until such notice is served.
In the event of failure to notify the designee of the President of DC-37
of the suspension within the time period established in Section
33.4(c)(4), the employee shall be deemed to have been suspended
without pay as of the date the notice is sent to the designee of the
President of DC-37.
(e) During a period of suspension without pay pursuant to the
provisions of Sections 33.4(a)(1) or 33.4(a)(2), the State shall continue
to pay its share of the cost of the employee's health coverage under
Article 9 which was in effect on the day prior to the suspension
provided that the suspended employee pays his or her share. In
addition, any employee suspended pursuant to the provisions of
Sections 33.4(a)(1) or 33.4(a)(2) shall be counted for the purpose of
calculating the amount of any periodic deposit to the employee benefit
fund.
§33.5 Disciplinary Procedure
(a) Where the appointing authority or the authority's designee seeks
to impose discipline, notice of such discipline shall be made in writing
and served upon the employee. Discipline shall be imposed only for
just cause. Disciplinary penalties may include a written reprimand, a
fine not to exceed two weeks’ pay, suspension without pay, demotion,
restitution, dismissal from service, loss of leave credits or other
privileges, or such other penalties as may be appropriate. The specific
acts for which discipline is being imposed and the penalty or penalties
proposed shall be specified in the notice. The notice shall contain a
description of the alleged acts and conduct, including reference to
dates, times and places. Two copies of the notice shall be served on the
employee. Service of the notice of discipline shall be made by personal
service or by certified mail, return receipt requested.
(b) In those cases where such acts are alleged to constitute a crime,
a notice of discipline must be served no later than the period set forth
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for the commencement of a criminal proceeding against a public
employee in the Criminal Procedure Law of the State of New York.
(c) The designee of the President of DC-37 shall be immediately
advised by email with a read receipt, where available, and regular first
class mail, of the name and work location of an employee against
whom a notice of discipline has been personally served or by certified
mail, return receipt requested.
(d) The notice of discipline served on the employee shall be
accompanied by a copy of this Article and a written statement1 that:
(1) the employee has a right to object by filing a disciplinary
grievance within twenty-one 21 calendar days;
(2) he/she has the right to have the disciplinary action reviewed
by an independent arbitrator;
(3) the employee is entitled to be accompanied for the purposes
of representation by DC-37 or an attorney at every step of the
disciplinary proceeding; and
(4) If a disciplinary grievance is filed, no penalty can be
implemented unless the employee fails to follow the procedural
requirements, or until the matter is settled, or until the
arbitration procedure specified in subdivision (h) below, is
completed.
(e) If an employee is not able to personally sign and file a
disciplinary grievance, DC37 may, at the employee’s request, submit
such grievance on the employee’s behalf. Provided, however, that
within twenty-one (21) days of submission, the employee in question
must appear to sign the grievance form or DC37 must produce
documentation supporting any reason as to why the employee could
not appear. Should neither of these actions occur, the grievance shall
be deemed void after twenty-one (21) days.
(f) The penalty proposed by the appointing authority may not be
1 In the case of an employee who speaks only Spanish, the written statements required shall also be given in a Spanish translation.
92
implemented until (1) the employee fails to file a disciplinary
grievance within twenty-one 21 calendar days of the service of the
notice of discipline, or (2) having filed a grievance, the employee fails
to file a timely appeal as provided in subdivision (h) below or (3) the
penalty is upheld or a different penalty is determined by the arbitrator
to be appropriate, or (4) the matter is settled.
(g) If not settled or otherwise resolved, the notice of discipline may
be the subject of a grievance before the agency head, or a designee,
and shall be filed either in person or by certified mail, return receipt
requested, by the employee or by the representative with the
employee's written consent, within twenty-one (21) calendar days of
service of the notice of discipline. The employee shall be entitled to a
meeting with the agency head, or a designee. The meeting shall include
an informal presentation by the agency head, or a designee, and by the
employee, or a union representative, of relevant information
concerning the acts or omissions specified in the notice of discipline, a
general review of the evidence and defenses that will be presented if
the matter proceeds to the next level, and a discussion of the
appropriateness of the proposed penalty. The meeting need not involve
the identification or presentation of prospective witnesses, the
identification or specific description of documents, or other formal
disclosure of evidence by either party. The meeting provided for herein
may be waived, in writing, on the grievance form, only in accordance
with Section 33.4(c)(2). A written response shall be rendered in
person, or by certified mail, return receipt requested, no later than
seven (7) calendar days after such meeting. If possible, the department
or agency head, or a designee, should render the written response at the
close of such meeting. When the agency head, or a designee, fails to
issue a written response within seven (7) calendar days from such
meeting, the grievant has the right to proceed directly to the next
appropriate level by filing an appeal in accordance with subdivision
(h).
(h) Disciplinary Arbitration
(1) If a disciplinary grievance is not settled or otherwise resolved, it
may be appealed to independent arbitration. Such appeal must be filed
with the Governor's Office of Employee Relations, Disciplinary Panel
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Administration, Corporate Plaza East, Suite 502, 240 Washington 100
Avenue Extension, Albany, NY 12203, ATTN: Panel Administrator or
by fax or email with a read receipt to [email protected], on a
disciplinary grievance form, with a copy to the appointing authority,
within 14 calendar days of service of the department or agency
response. If there is no department or agency response received within
ten (10) calendar days after the agency meeting, the appeal to
arbitration must be filed within 24 calendar days of such meeting.
(2) The disciplinary arbitrator shall hold a hearing within 14
calendar days after his/her selection. A decision shall be rendered
within seven (7) calendar days of the close of the hearing or within
seven (7) calendar days after receipt of the transcript, if either party
elects a transcript as provided in paragraph eight (8), or within such
other period of time as may have been mutually agreed to by the
agency and the grievant or his or her representative.
(3) Disciplinary arbitrators shall render determinations of guilt or
innocence and the appropriateness of proposed penalties, and shall
have the authority to resolve a claimed failure to follow the procedural
provisions of this Article. Disciplinary arbitrators shall neither add to,
subtract from nor modify the provisions of this Agreement.
(4) The disciplinary arbitrator's decision with respect to guilt or
innocence, penalty, probable cause for suspension, or temporary
reassignment, if any, and a claimed failure to follow the procedural
provisions of this Article, shall be final and binding on the parties. If
the arbitrator, upon review, finds probable cause for suspension
without pay, he or she may consider such suspension in determining
the penalty to be imposed. Upon a finding of guilt the disciplinary
arbitrator has full authority, if he or she finds the penalty or penalties
proposed by the State to be inappropriate, to devise an appropriate
penalty including, but not limited to, ordering reinstatement and back
pay for all or part of any period of suspension.
(5) Where an employee is suspended without pay or temporarily
reassigned pursuant to Section 33.4, and it appears that the hearing will
extend beyond one day, the parties may jointly authorize the arbitrator
94
to issue an interim decision and award solely with respect to the issue
of whether there was probable cause for the suspension without pay or
the temporary reassignment.
(6) The panel of arbitrators agreed to by the State of New York and
DC-37 during the term of the 2011-2016 Agreement shall continue to
serve for the term of this Agreement. The composition of the panel of
arbitrators may be changed by the mutual agreement of the State and
DC-37.
(7) All fees and expenses of the arbitrator, if any, shall be divided
equally between the appointing authority and DC-37 or the employee if
not represented by DC-37. Each party shall bear the costs of preparing
and presenting its own case. The estimated arbitrator's fees and
estimated expenses may be collected in advance of the hearing. When
such request for payment is made and not satisfied as required, the
grievance shall be deemed withdrawn.
(8) Either party wishing a transcript at a disciplinary arbitration
hearing may provide for one at its own expense and shall provide a
copy to the arbitrator and the other party without cost.
(i) The agency head or a designee has full authority, at any time
before or after the notice of discipline is served by an appointing
authority or a designee, to review such notice and the proposed penalty
and to take such action as he or she deems appropriate under the
circumstances in accordance with this Article including, but not limited
to, determining whether a notice should be issued, amendment of the
notice no later than the issuance of the agency response, withdrawal of
the notice or a reduction of the proposed penalty.
(J) An employee shall not be disciplined for acts, except those
which would constitute a crime, which occurred more than one year
prior to the notice of discipline. The employee's entire record of
employment, however, may be considered with respect to the
appropriateness of the penalty to be imposed, if any.
(k) The disciplinary arbitrator is not restricted by the contractual
95
limits on penalties which may be proposed by the State. He or she has
full authority, if the remedy proposed by the State is found to be
inappropriate, to devise an appropriate remedy, but shall not increase
the penalty sought by the State except that the arbitrator may direct
referral to a rehabilitative program in addition to the penalty.
§33.6 Settlements
A disciplinary matter may be settled at any time following the
service of the notice of discipline. The terms of the settlement shall be
agreed to in writing. Before executing such settlement, an employee
shall be advised of the right to have a DC-37 representative or an
attorney present and, if such representation is requested, shall be
afforded a reasonable period of time to obtain representation. A
settlement entered into by an employee, the DC-37 representative or an
attorney, on behalf of the employee, shall be final and binding on all
parties. Within five (5) calendar days of any settlement, the Staff
Director shall be sent a notice advising him or her, in writing, of the
settlement. Such notice shall be sent by email with a read receipt and
first class mail.
§33.7 Definitions
(a) As used in this section, "days" shall mean calendar days unless
otherwise specified.
(b) "Service" shall be complete upon personal delivery or, if it is
made by certified mail, return receipt requested, it shall be complete
upon the date the employee or any other person accepting delivery has
signed the return receipt or when the letter is returned to the appointing
authority undelivered.
(c) "Filing" shall be complete upon actual receipt.
§33.8 Timeliness
In the event of a question of timeliness of any disciplinary
grievance or appeal to arbitration, the date of mailing appearing on the
postal receipt shall be determinative.
§33.9 Time Limits
Except as provided in Section 33.4(c)(2), time limits contained in
this Article may be waived by mutual agreement of the parties. Any
96
such agreement must be in writing. Changes in shift, pass day, job
assignment, or transfer or reassignment to another facility, work
location or job station may not be made for the sole purpose of
imposing discipline unless imposed 103 pursuant to the provisions of
Section 33.5, provided, however, that temporary reassignments may be
made pursuant to Section 33.4.
§33.10 Time and Attendance Disciplinary Procedures
(a) All notices of discipline based solely on time and attendance,
including tardiness, which have not been settled or otherwise resolved,
shall be reviewed by a permanent umpire in accordance with the
attached schedule except as otherwise provided in paragraph (g) below.
(b) The determinations of the permanent umpire shall be confined
to the guilt or innocence of the grievant and the appropriateness of the
proposed penalty. The employee's entire record of employment may be
considered by the permanent umpire with respect to the
appropriateness of the penalty to be imposed. The permanent umpire
shall have the authority to resolve a claimed failure to follow the
procedural provisions of this Article.
(c) The decision and award of the permanent umpire with respect
to guilt or innocence and penalty, if any, shall be final and binding on
the parties and not subject to appeal to any other forum except that, in
the case of a decision and award of the permanent umpire which results
in a penalty of dismissal from service, the decision and award may be
reviewed in accordance with Article 75 of the CPLR. The permanent
umpire shall, upon a finding of guilt, have full authority to uphold the
penalty proposed in the notice of discipline or to impose a lesser
penalty within the minimum and maximum penalties as contained in
the attached schedule and appropriate to that notice of discipline. In
appropriate cases and in addition to the penalty imposed, the
permanent umpire may direct the grievant to attend counseling
sessions or other appropriate programs jointly agreed upon by the State
and DC-37.
(d) Within one (1) month of the execution of this Agreement, the
State and DC-37 shall mutually select a panel of two or more
97
permanent umpires, who shall serve for the term of this Agreement,
and shall be jointly administered by the State and DC-37.
(e) Unless the State and DC-37 mutually agree otherwise, a
permanent umpire shall be available to hold reviews at least once each
month on a regularly scheduled basis. At such times, the permanent
umpire shall review and finally determine all time and attendance 104
disciplinary grievances which have been pending no less than ten (10)
days prior to the permanent umpire's scheduled appearance and are
unresolved in accordance with paragraph (a) above.
(f) An employee is entitled to appear at the review before a
permanent umpire and is entitled to have a DC-37 representative or an
attorney present provided at his or her own expense. Matters scheduled
to be heard by the permanent umpire may not be adjourned except at
the discretion of the permanent umpire for good cause shown. Any
matters which are adjourned shall be rescheduled for the next regularly
scheduled appearance of the permanent umpire.
(g) Where an employee is to be served a notice of discipline related
solely to time and attendance and, within three (3) years of such notice,
has been found guilty of or settled (or a combination of both) two prior
notices of discipline not solely related to time and attendance, the
appointing authority may elect either to pursue such time and
attendance notice before the permanent umpire in accordance with the
attached schedule or to serve a notice of discipline and proceed before
a disciplinary arbitrator. This paragraph shall not apply to notices of
discipline based solely on tardiness. For the purposes of the Time and
Attendance Schedule only, "prior record" shall mean any notice of
discipline based solely on time and attendance where either guilt was
found or a settlement occurred or a combination of both occurred.
However, for all notices of discipline based solely upon time and
attendance issued on or after the date of execution of this Agreement,
the "prior record" shall not include any notices of discipline based
solely upon time and attendance that are three or more years old if the
employee has not been served a notice of discipline based solely upon
time and attendance within the three years from the date of the
resolution of the last notice of discipline based solely upon time and
98
attendance. Notices of discipline based solely on tardiness shall
proceed on the tardiness schedule only and shall not be considered as a
prior record for any other offense. The penalty level for notices of
discipline which contain charges of both tardiness and unauthorized
absence shall be the appropriate level within the type of unauthorized
absence charge.
(h) As used in this Article, "time and attendance disciplinary
grievances" shall mean those disciplinary grievances based upon
notices of discipline which specify tardiness, or unauthorized absence,
including improper use of sick leave, and do not contain any other
allegations of misconduct or incompetence.
(i) All fees and expenses (if any) of the umpire(s) shall be divided
equally between the appointing authority and DC-37 or the employee if
not represented by DC-37.
See Time and Attendance Schedule on following page.
99
TIME AND ATTENDANCE SCHEDULE
Type of Offense Prior Record
Minimum
Penalty
Maximum
Penalty
Tardiness 1st, 2nd, or 3rd
Notice of
Discipline
Written
reprimand
Fine of 3 days’
pay or equivalent
4th or more
Notices of
Discipline
Fine of 4 days’ Dismissal
pay or equivalent
Unauthorized absence
including improper use of
sick leave/unscheduled
absence of 3 consecutive
workdays or less
1st and 2nd
Notice of
Discipline
Written
reprimand
Fine of 2 days’
pay or equivalent
3rd Notice of
Discipline
Fine of 4 days’
pay or equivalent
Fine of 4 weeks’
pay or equivalent
4th Notice of
Discipline or
more
Fine of 6 days’
pay or equivalent
Dismissal
Unauthorized absence
including improper use of
sick leave/unscheduled
absence of more than 3 but
less than 8 consecutive
workdays
1st Notice of
Discipline
Fine of 2 days’
pay or equivalent
Fine of 3 weeks’
pay or equivalent
2nd Notice of
Discipline
Fine of 3 days’
pay or
equivalent
Fine of 8 weeks’
pay or equivalent
3rd or more
Notice of
Discipline
Fine of 5 days’
pay or equivalent
Dismissal
Unauthorized absence
including improper use of
sick leave/unscheduled
absence of 8 consecutive
workdays or more
1st Notice of
Discipline
Fine of 4 days’
pay or equivalent
Dismissal
2nd Notice of
Discipline or
more
Fine of 8 weeks’
pay or equivalent
Dismissal
100
ARTICLE 34 Reimbursement for Property Damage
The State agrees to provide for the uniform administration of the
procedure for reimbursement to employees for personal property
damage or destruction as provided for by subdivisions 12 and 12-c of
Section 8 of the State Finance Law and to provide for payments of up
to $50,000 out of local funds at the institution level as provided
therein. Allowances shall be based upon the reasonable value of the
property involved and payment shall be made against a satisfactory
release.
ARTICLE 35 Accidental Death Benefit
§35.1
In the event an employee dies subsequent to the effective date of
this agreement as the result of an accidental on-the-job injury and a
death benefit is paid pursuant to the Workers' Compensation Law, the
State shall pay a death benefit in the amount of $50,000 to the
employee's surviving spouse and children to whom the Workers’
Compensation Accidental Death Benefit is paid and in the same
proportion as the Workers‟ Compensation Accidental Death Benefit is
paid. However, in the event that the Workers’ Compensation
Accidental Death Benefit is paid to the deceased employee’s estate, the
State shall pay this death benefit to the employee's estate.
§35.2
Children of an employee who received an Accidental Death
Benefit paid by the State under the terms of Section 35.1 above, and
who thereafter enroll in and attend any college or other unit of the
State University of New York, shall receive from the State a payment
equal to the amount of the tuition cost for each semester they are
enrolled and in attendance at such college or other unit. In addition,
children of an employee who received an Accidental Death Benefit
paid by the State under the terms of Section 35.1 above who meet the
institution's entrance requirements and enroll in an accredited private
college or university within New York State, shall receive a payment
from the State, equal to the corresponding semester's tuition at the
101
State University of New York as determined by the State, for each
semester they are enrolled and are in attendance at such private college
or university.
ARTICLE 36 Employee Assistance Program/Work-Life
Services Programs
§36.1 Employee Assistance Program
The State and DC-37 shall continue to provide an employee
assistance program to provide information, resources and confidential
assessment and referral services to assist employees to be more
productive and to assist agencies in maintaining a healthy and
productive workforce.
In recognition of the mutual advantage to the employees and the
employer inherent in an employee assistance program the State shall
prepare, secure introduction and recommend passage by the
Legislature of such legislation as may be appropriate and necessary to
obtain an appropriation in the amount indicated in each year of the
2016-2021 Agreement: $3,558.78 in 2016-2017, $3,629.96 in 2017-
2018, $3,702.55 in 2018-2019, $3,776.61 in 2019-2020, and $3,852.14
in 2020-2021 to continue the Employee Assistance Program effort.
§36.2 Flexible Benefit Spending Program – Dependent Care
Advantage Account Program
In Calendar Year 2017, the State shall provide a contribution per
DCAA account enrollee as follows:
Employee Gross Employer Contribution
Annual Salary
Under $30,000 $800
$30,001 - $40,000 $700
$40,001 – $50,000 $600
$50,001 - $60,000 $500
$60,001 - $70,000 $400
Over $70,000 $300
102
In subsequent years, the employer contribution may be increased or
reduced so as to fully expend available funds for this purpose, while
maintaining salary sensitive differentials. In the event available funds
are not fully expended for this purpose, the residual funds shall be
made available to benefit DC-37 members as mutually determined by
the Director of GOER and the President of DC-37 or their designees.
In no event shall the aggregate employer contribution exceed the
amounts provided for this purpose.
36.3 In the interest of providing greater availability of dependent
care and other services to DC-37 represented employees and
maximizing resources available, the Work Life Services Programs may
support additional initiatives as recommended by the Advisory Board.
36.4 Network Child Care Assistance Program
The State and DC-37 remain committed to ensuring that all
network childcare available to State employees is provided in safe,
high quality centers. Therefore, the State and DC-37 agree to:
a) Continue financial support for health and safety grants for
childcare network centers;
b) Provide technical support and training for child care initiatives;
and
c) Encourage the continuation of existing host agency support for
childcare centers.
36.5 The State shall prepare, secure introduction and recommend
passage of legislation for appropriations in the amount indicated in
each year of the 2016-2021 Agreement: $10,676.34 in 2016-2017,
$10,889.87 in 2017-2018, $11,107.66 in 2018-2019, $11,329.82 in
2019-2020, and 11,556.41 in 2020-2021 to fund the activities of
Section 36.2 and Section 36.4.
36. 6 A joint labor/management advisory board, which
recognizes the need for combined representation of all employee
negotiating units and the State, will monitor and evaluate the Work
Life Services Programs.
103
ARTICLE 37 (Intentionally left blank.)
ARTICLE 38 Job Classifications
The State, through the Office of the Director of Classification and
Compensation, will provide to DC-37 copies of any new or revised
tentative classification specifications and standards for titles in the
Rent Regulation Services Unit for review and comment. DC-37 will
provide its comments, if any, to the Director of Classification and
Compensation within 45 calendar days after its receipt of such
material. The specifications and standards will not be issued in final
form during the 45 calendar days in order to permit consideration of
any comments submitted by DC-37.
ARTICLE 39 Benefits Guaranteed
With respect to matters not covered by this Agreement, the State
will not seek to diminish or impair during the term of this Agreement
any benefit or privilege provided by law, rule or regulation for
employees without prior notice to DC-37; and, when appropriate,
without negotiations with DC-37; provided, however, that this
Agreement shall be construed consistently with the free exercise of
rights reserved to the State by the Management Rights Article of this
Agreement.
ARTICLE 40 Severability
In the event that any article, section or portion of this Agreement is
found to be invalid by a decision of a tribunal of competent jurisdiction
or shall have the effect of loss to the State of funds made available
through Federal law, then such specific article, section or portion
specified in such decision or having such effect shall be of no force
and effect, but the remainder of this Agreement shall continue in full
force and effect. Upon the issuance of such a decision or the issuance
of a ruling having such effect of loss of Federal funds, then either party
shall have the right immediately to reopen negotiations with respect to
a substitute for such Article, Section or portion of this Agreement
involved. The parties agree to use their best efforts to contest any such
104
loss of Federal funds which may be threatened. In the event that the
Legislature fails to implement Sections 7.1 through 7.11, any or all
Articles may be reopened at the option of DC-37 or the State, and
renegotiated. In the event that any other Article, Section or portion of
this Agreement fails to be implemented by the Legislature, then in that
event, such article, section or portion may be reopened by DC-37 or
the State and renegotiated. During the course of any reopened
negotiations any provision of this Agreement not affected by such
reopener shall remain in full force and effect.
ARTICLE 41 Printing of Agreement
The cost of printing this Agreement shall be shared equally by the
State and DC-37.
ARTICLE 42 Approval of the Legislature
It is agreed by and between the parties that any provision of this
Agreement requiring legislative action to permit its implementation by
amendment of law or by providing the additional funds therefore, shall
not become effective until the appropriate legislative body has given
approval.
105
ARTICLE 43 Duration of Agreement
The term of this Agreement shall be from April 2, 2016 through
April 1, 2021.
IN WITNESS WHEREOF, the parties hereto have caused this
Agreement to be signed by their respective representatives on
December 7, 2017.
THE EXECUTIVE BRANCH OF DISTRICT COUNCIL 37
THE STATE OF NEW YORK AFSCME, AFL-CIO
_____________________________ ______________________
Joseph M. Bress
Chief Negotiator
State of New York
Henry Garrido
Executive Director
District Council 37
AFSCME, AFL-CIO
DC-37 Salary Schedule-April 2, 2016
SG HR STEP 1 STEP 2 STEP 3 STEP 4 STEP 5 STEP 6 JR INCR JR INCR
1 23391 24180 24969 25758 26547 27336 28125 28914 789 789
2 24284 25112 25940 26768 27596 28424 29252 30080 828 828
3 25496 26361 27226 28091 28956 29821 30686 31551 865 865
4 26609 27525 28441 29357 30273 31189 32105 33021 916 916
5 27882 28841 29800 30759 31718 32677 33636 34595 959 959
6 29442 30439 31436 32433 33430 34427 35424 36421 997 997
7 31070 32115 33160 34205 35250 36295 37340 38392 1045 1052
8 32822 33908 34994 36080 37166 38252 39338 40417 1086 1079
9 34651 35786 36921 38056 39191 40326 41461 42589 1135 1128
10 36633 37823 39013 40203 41393 42583 43773 44956 1190 1183
11 38758 40007 41256 42505 43754 45003 46252 47501 1249 1249
12 40975 42268 43561 44854 46147 47440 48733 50019 1293 1286
13 43406 44758 46110 47462 48814 50166 51518 52870 1352 1352
14 45918 47325 48732 50139 51546 52953 54360 55774 1407 1414
15 48584 50051 51518 52985 54452 55919 57386 58853 1467 1467
16 51305 52839 54373 55907 57441 58975 60509 62050 1534 1541
17 54193 55814 57435 59056 60677 62298 63919 65547 1621 1628
18 54406 56272 58138 60004 61870 63736 65602 69182 1866 3580
19 57356 59300 61244 63188 65132 67076 69020 72841 1944 3821
20 60290 62321 64352 66383 68414 70445 72476 76484 2031 4008
21 63487 65603 67719 69835 71951 74067 76183 80501 2116 4318
22 66900 69105 71310 73515 75720 77925 80130 84707 2205 4577
23 70439 72733 75027 77321 79615 81909 84203 89095 2294 4892
24 74190 76576 78962 81348 83734 86120 88506 93659 2386 5153
25 78283 80769 83255 85741 88227 90713 93199 98669 2486 5470
26 82407 84993 87579 90165 92751 95337 97923 101577 2586 3654
27 86868 89592 92316 95040 97764 100488 103212 106993 2724 3781
28 91441 94271 97101 99931 102761 105591 108421 112307 2830 3886
29 96236 99173 102110 105047 107984 110921 113858 117862 2937 4004
30 101264 104310 107356 110402 113448 116494 119540 123647 3046 4107
31 106661 109822 112983 116144 119305 122466 125627 129843 3161 4216
32 112333 115599 118865 122131 125397 128663 131929 136259 3266 4330
Appendix A Salary Schedules
DC-37 Salary Schedule-April 2, 2017
SG HR STEP 1 STEP 2 STEP 3 STEP 4 STEP 5 STEP 6 JR INCR JR INCR
1 23859 24664 25469 26274 27079 27884 28689 29494 805 805
2 24770 25614 26458 27302 28146 28990 29834 30685 844 851
3 26006 26889 27772 28655 29538 30421 31304 32180 883 876
4 27141 28075 29009 29943 30877 31811 32745 33679 934 934
5 28440 29418 30396 31374 32352 33330 34308 35286 978 978
6 30031 31047 32063 33079 34095 35111 36127 37150 1016 1023
7 31691 32757 33823 34889 35955 37021 38087 39160 1066 1073
8 33478 34586 35694 36802 37910 39018 40126 41227 1108 1101
9 35344 36501 37658 38815 39972 41129 42286 43443 1157 1157
10 37366 38580 39794 41008 42222 43436 44650 45857 1214 1207
11 39533 40807 42081 43355 44629 45903 47177 48451 1274 1274
12 41795 43113 44431 45749 47067 48385 49703 51021 1318 1318
13 44274 45653 47032 48411 49790 51169 52548 53927 1379 1379
14 46836 48271 49706 51141 52576 54011 55446 56888 1435 1442
15 49556 51052 52548 54044 55540 57036 58532 60028 1496 1496
16 52331 53896 55461 57026 58591 60156 61721 63293 1565 1572
17 55277 56931 58585 60239 61893 63547 65201 66855 1654 1654
18 55494 57398 59302 61206 63110 65014 66918 70566 1904 3648
19 58503 60486 62469 64452 66435 68418 70401 74301 1983 3900
20 61496 63567 65638 67709 69780 71851 73922 78014 2071 4092
21 64757 66915 69073 71231 73389 75547 77705 82113 2158 4408
22 68238 70487 72736 74985 77234 79483 81732 86398 2249 4666
23 71848 74188 76528 78868 81208 83548 85888 90876 2340 4988
24 75674 78108 80542 82976 85410 87844 90278 95534 2434 5256
25 79849 82385 84921 87457 89993 92529 95065 100645 2536 5580
26 84055 86693 89331 91969 94607 97245 99883 103609 2638 3726
27 88605 91383 94161 96939 99717 102495 105273 109133 2778 3860
28 93270 96156 99042 101928 104814 107700 110586 114553 2886 3967
29 98161 101156 104151 107146 110141 113136 116131 120219 2995 4088
30 103289 106396 109503 112610 115717 118824 121931 126120 3107 4189
31 108794 112018 115242 118466 121690 124914 128138 132440 3224 4302
32 114580 117911 121242 124573 127904 131235 134566 138984 3331 4418
DC-37 Salary Schedule-April 2, 2018
SG HR STEP 1 STEP 2 STEP 3 STEP 4 STEP 5 STEP 6 JR INCR JR INCR
1 24336 25157 25978 26799 27620 28441 29262 30083 821 821
2 25265 26126 26987 27848 28709 29570 30431 31299 861 868
3 26526 27426 28326 29226 30126 31026 31926 32826 900 900
4 27684 28637 29590 30543 31496 32449 33402 34355 953 953
5 29009 30007 31005 32003 33001 33999 34997 35995 998 998
6 30632 31669 32706 33743 34780 35817 36854 37891 1037 1037
7 32325 33412 34499 35586 36673 37760 38847 39941 1087 1094
8 34148 35278 36408 37538 38668 39798 40928 42051 1130 1123
9 36051 37232 38413 39594 40775 41956 43137 44311 1181 1174
10 38113 39351 40589 41827 43065 44303 45541 46772 1238 1231
11 40324 41624 42924 44224 45524 46824 48124 49417 1300 1293
12 42631 43976 45321 46666 48011 49356 50701 52039 1345 1338
13 45159 46566 47973 49380 50787 52194 53601 55008 1407 1407
14 47773 49237 50701 52165 53629 55093 56557 58028 1464 1471
15 50547 52073 53599 55125 56651 58177 59703 61229 1526 1526
16 53378 54974 56570 58166 59762 61358 62954 64557 1596 1603
17 56383 58070 59757 61444 63131 64818 66505 68192 1687 1687
18 56604 58546 60488 62430 64372 66314 68256 71980 1942 3724
19 59673 61696 63719 65742 67765 69788 71811 75785 2023 3974
20 62726 64839 66952 69065 71178 73291 75404 79577 2113 4173
21 66052 68253 70454 72655 74856 77057 79258 83752 2201 4494
22 69603 71897 74191 76485 78779 81073 83367 88124 2294 4757
23 73285 75672 78059 80446 82833 85220 87607 92693 2387 5086
24 77187 79669 82151 84633 87115 89597 92079 97448 2482 5369
25 81446 84033 86620 89207 91794 94381 96968 102661 2587 5693
26 85736 88426 91116 93806 96496 99186 101876 105681 2690 3805
27 90377 93211 96045 98879 101713 104547 107381 111316 2834 3935
28 95135 98079 101023 103967 106911 109855 112799 116844 2944 4045
29 100124 103179 106234 109289 112344 115399 118454 122623 3055 4169
30 105355 108524 111693 114862 118031 121200 124369 128642 3169 4273
31 110970 114259 117548 120837 124126 127415 130704 135089 3289 4385
32 116872 120270 123668 127066 130464 133862 137260 141764 3398 4504
DC-37 Salary Schedule-April 2, 2019
SG HR STEP 1 STEP 2 STEP 3 STEP 4 STEP 5 STEP 6 JR INCR JR INCR
1 24823 25660 26497 27334 28171 29008 29845 30682 837 837
2 25770 26649 27528 28407 29286 30165 31044 31923 879 879
3 27057 27975 28893 29811 30729 31647 32565 33483 918 918
4 28238 29210 30182 31154 32126 33098 34070 35042 972 972
5 29589 30607 31625 32643 33661 34679 35697 36715 1018 1018
6 31245 32302 33359 34416 35473 36530 37587 38651 1057 1064
7 32972 34081 35190 36299 37408 38517 39626 40742 1109 1116
8 34831 35983 37135 38287 39439 40591 41743 42895 1152 1152
9 36772 37976 39180 40384 41588 42792 43996 45200 1204 1204
10 38875 40138 41401 42664 43927 45190 46453 47709 1263 1256
11 41130 42456 43782 45108 46434 47760 49086 50405 1326 1319
12 43484 44855 46226 47597 48968 50339 51710 53081 1371 1371
13 46062 47497 48932 50367 51802 53237 54672 56107 1435 1435
14 48728 50221 51714 53207 54700 56193 57686 59186 1493 1500
15 51558 53114 54670 56226 57782 59338 60894 62457 1556 1563
16 54446 56074 57702 59330 60958 62586 64214 65849 1628 1635
17 57511 59231 60951 62671 64391 66111 67831 69558 1720 1727
18 57736 59716 61696 63676 65656 67636 69616 73418 1980 3802
19 60866 62930 64994 67058 69122 71186 73250 77301 2064 4051
20 63981 66136 68291 70446 72601 74756 76911 81172 2155 4261
21 67373 69618 71863 74108 76353 78598 80843 85425 2245 4582
22 70995 73335 75675 78015 80355 82695 85035 89886 2340 4851
23 74751 77186 79621 82056 84491 86926 89361 94548 2435 5187
24 78731 81263 83795 86327 88859 91391 93923 99394 2532 5471
25 83075 85714 88353 90992 93631 96270 98909 104711 2639 5802
26 87451 90195 92939 95683 98427 101171 103915 107795 2744 3880
27 92185 95076 97967 100858 103749 106640 109531 113542 2891 4011
28 97038 100041 103044 106047 109050 112053 115056 119181 3003 4125
29 102126 105243 108360 111477 114594 117711 120828 125075 3117 4247
30 107462 110695 113928 117161 120394 123627 126860 131215 3233 4355
31 113189 116544 119899 123254 126609 129964 133319 137791 3355 4472
32 119209 122675 126141 129607 133073 136539 140005 144599 3466 4594
DC-37 Salary Schedule-April 2, 2020
SG HR STEP 1 STEP 2 STEP 3 STEP 4 STEP 5 STEP 6 JR INCR JR INCR
1 25319 26173 27027 27881 28735 29589 30443 31297 854 854
2 26285 27181 28077 28973 29869 30765 31661 32564 896 903
3 27598 28535 29472 30409 31346 32283 33220 34150 937 930
4 28803 29794 30785 31776 32767 33758 34749 35740 991 991
5 30181 31219 32257 33295 34333 35371 36409 37447 1038 1038
6 31870 32949 34028 35107 36186 37265 38344 39423 1079 1079
7 33631 34762 35893 37024 38155 39286 40417 41555 1131 1138
8 35528 36703 37878 39053 40228 41403 42578 43753 1175 1175
9 37507 38735 39963 41191 42419 43647 44875 46103 1228 1228
10 39653 40941 42229 43517 44805 46093 47381 48662 1288 1281
11 41953 43305 44657 46009 47361 48713 50065 51410 1352 1345
12 44354 45753 47152 48551 49950 51349 52748 54140 1399 1392
13 46983 48447 49911 51375 52839 54303 55767 57231 1464 1464
14 49703 51226 52749 54272 55795 57318 58841 60371 1523 1530
15 52589 54177 55765 57353 58941 60529 62117 63705 1588 1588
16 55535 57196 58857 60518 62179 63840 65501 67169 1661 1668
17 58661 60416 62171 63926 65681 67436 69191 70946 1755 1755
18 58891 60911 62931 64951 66971 68991 71011 74887 2020 3876
19 62083 64188 66293 68398 70503 72608 74713 78849 2105 4136
20 65261 67459 69657 71855 74053 76251 78449 82794 2198 4345
21 68720 71010 73300 75590 77880 80170 82460 87133 2290 4673
22 72415 74802 77189 79576 81963 84350 86737 91684 2387 4947
23 76246 78730 81214 83698 86182 88666 91150 96441 2484 5291
24 80306 82889 85472 88055 90638 93221 95804 101379 2583 5575
25 84737 87428 90119 92810 95501 98192 100883 106802 2691 5919
26 89200 91999 94798 97597 100396 103195 105994 109951 2799 3957
27 94029 96977 99925 102873 105821 108769 111717 115813 2948 4096
28 98979 102042 105105 108168 111231 114294 117357 121565 3063 4208
29 104169 107348 110527 113706 116885 120064 123243 127577 3179 4334
30 109611 112908 116205 119502 122799 126096 129393 133839 3297 4446
31 115453 118875 122297 125719 129141 132563 135985 140547 3422 4562
32 121593 125128 128663 132198 135733 139268 142803 147491 3535 4688
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APPENDIX B ARTICLE 21 Protection of Employees
A. REDEPLOYMENT PROCESS AND PROCEDURES
This process and procedure is developed to support the provisions
of Article 21 regarding the redeployment of permanent employees
impacted by the State's right to contract out for goods and services.
It is the State's intent to redeploy employees affected to the
maximum extent possible in instances where the positions will be
eliminated as a result of the contracting out for goods and services. All
agencies will work cooperatively to ensure that every opportunity to
redeploy is explored. Employees will be flexible in considering
redeployment alternatives.
(1) General Redeployment Rules and Definitions
(a) Rules 1.a. All employees whose functions will be contracted
out will be placed on a redeployment list with the employees'
eligibility remaining in effect until the employee is redeployed,
exercises his or her displacement or reemployment rights, or is
separated pursuant to the provisions of Article 21.1. However, such
list, established pursuant to the intended contracting out of the specific
function, will expire when all employees on that list are either
redeployed, exercise their displacement or reemployment rights, or are
separated pursuant to Article 21.1. In the event that not all employees
in an affected title in a layoff unit must be redeployed, eligibility for
retention shall be based on seniority as defined in Section 80 and 80(a)
of the Civil Service Law, except that employees in such affected titles
may voluntarily elect to be redeployed. In the event that more
employees elect redeployment than can be accommodated, eligibility
for redeployment shall be in order of seniority as defined in Section 80
and 80(a) of this law. The names of persons on a redeployment list
shall be certified for redeployment in order of seniority.
(b) Should an employee not be redeployed prior to separation, that
employee shall continue on a redeployment list after separation for a
period not to exceed six (6) months or until the employee is redeployed
or exercises his/her reemployment rights.
A redeployment list comprised of separated employees shall be
certified to positions occupied by non-permanent employees pursuant
to Civil Service procedures, prior to the certification of other
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reemployment lists.
It is anticipated that, based on Civil Service practice, redeployment
lists will be certified against non-permanent appointees within 30-45
days of separation.
(2) Redeployment under the terms of Article 21 shall not be used
for disciplinary reasons.
(3) The State shall make its best efforts to arrange with other
non-executive branch agencies, authorities and other governmental
entities to place redeployed personnel should redeployment in the
classified service not be possible.
(4) A vacancy in any State department or agency shall not be filled
by any other means, except by redeployment, until authorized by the
Department of Civil Service. Agencies with authority to fill vacancies
will be required to use the redeployment list provided by the
Department of Civil Service to fill vacancies.
(5) Employees offered redeployment shall have at least five (5)
working days to accept or decline the offer.
(6) Full-time employees will be redeployed to full-time
assignments and part-time employees will be redeployed to part-time
assignments, unless the employees volunteer otherwise.
(7) Redeployment opportunities within RRSU shall first be offered
to affected employees in the unit. Exceptions to this section may be
agreed to by the Employment Security Committee.
(8) There shall be the following types of redeployment:
(a) Primary redeployment shall mean redeployment to the
employee’s current title or a title determined by the Department of
Civil Service to have substantially equivalent tests, qualifications or
duties. Comparability determinations shall be as broad as possible and
will include consideration of the professional licenses or educational
degrees required of the incumbents of the positions to be contracted
out.
(b) Secondary redeployment shall mean redeployment to a title for
which the employee qualifies by virtue of his or her own background
and qualifications. Participation shall not be mandatory for either
party. If an individual employee is interested in secondary
redeployment, the State shall work with that employee to identify
suitable available positions and arrange for placements. Should the
Department of Civil Service determine that an employee can be
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certified for appointment to a particular job title, such employee shall
be placed on the appropriate reemployment roster immediately upon
such determination. Appointments from such reemployment rosters
shall be governed by Civil Service Law. The State shall make its best
efforts to identify suitable available positions and arrange for
placements. Secondary redeployment shall not be considered until
primary redeployment alternatives are fully explored.
(c) Employees not successfully redeployed through their primary
and secondary redeployment options may be temporarily appointed to
positions in which they are expected to be qualified for permanent
appointment within nine (9) months. At the discretion of the
appointing authority and the Department of Civil Service, this period
may extend to one year. Participation shall not be mandatory for either
party.
When the employee completes the necessary qualification(s) for
the position, such employee shall be permanently appointed to the
position pursuant to Civil Service Law, Rules and Regulations.
If the employee fails to complete the required qualification(s) for
the position, fails the required probation, or is otherwise not
appointable, the employee's transition benefits shall be subject to the
provisions of subsection 14(d) below.
In the event an employee completes the qualification(s) but is
unappointable because of the existence of a reemployment list, that
employee shall be placed on the reemployment roster for the title in
question.
If the trainee employee is appointed pursuant to the foregoing to a
higher level position, the employee shall retain his/her present salary
while in a trainee capacity.
If the trainee employee is appointed pursuant to the foregoing to a
lower level position, a trainee salary rate appropriate to the new
position will be determined at the time of appointment.
(d) Employees who are redeployed to comparable titles or through
secondary redeployment in a lower salary grade shall be placed on
reemployment lists.
(9) Agencies with employees to be redeployed shall notify the
Department of Civil Service of the name, title and date of appointment
of affected employees at least 90 days prior to the effective date of the
contract for goods and services which makes redeployment necessary.
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If more than 90-days’ notice is possible, such notice shall be provided.
Agencies shall be responsible for managing the redeployment effort in
conjunction with the Department of Civil Service. Employees to be
redeployed shall be notified by their agency at the same time as the
agency notifies the Department of Civil Service.
(10) Redeployment to current or comparable titles shall be
accomplished without loss to the redeployed employee of
compensation, seniority or benefits (except as benefits other than base
salary are affected by new bargaining unit designations). Future
increases in compensation of employees redeployed to comparable
titles shall be determined by the position to which the employee is
redeployed. Subsequently negotiated salary increases shall not permit
an employee to exceed the second longevity step of the new position.
(11) Salary upon secondary redeployment shall be that appropriate
for the salary grade to which the employee is redeployed, as calculated
by the Office of the State Comptroller and/or the Director of
Classification and Compensation, as appropriate.
(12) An employee may elect redeployment to any county in New
York State, but the employee may not decline primary redeployment in
his/her county of residence, or county of current work location. Such
declination will result in separation without the transition benefits of
Article 21.1(b) of the Agreement.
(13) Any fees required by the Agency or the Department of Civil
Service upon the redeployment of an employee shall be waived.
Redeployed employees who qualify for moving expenses under the
State Finance Law Section 202 and the regulations thereunder shall be
entitled to payment at the rates provided for in the Rules of the
Director of the Budget 9 NYCRR Part 155.
(14) Probation
(a) Permanent non-probationers redeployed to positions in their
own title or to titles for which they would not be required to serve a
probationary period under Civil Service Law and Rules shall not be
subject to further probation.
(b) Probationers redeployed to positions in their own title shall
serve the balance of their probationary period in the new agency.
(c) Employees redeployed to comparable titles for which they
would be required to serve a probationary period under applicable
Civil Service Law and Rules or under secondary redeployment shall be
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subject to a probationary period in accordance with the Rules for the
Classified Service.
(d) Employees who fail probation shall be eligible for layoff and
preferred list rights in their original titles. Additionally, such employees
who fail probation shall have an opportunity to select either the transition
benefit of an Educational Stipend as set forth in Appendix D(B), or the
Severance Option as provided for in Appendix D(C). The value of the
salary earned during the redeployed employee's probation (or in
connection with 8(c) above) shall be subtracted from the value of the
transition benefit, C(B) or C(C), chosen by the employee.
(b) Definitions
(1) Seniority shall be determined by Section 80 of the Civil Service
Law for competitive class employees and by Article 22.1 of the
Agreement for non-competitive and labor class employees.
(2) In the event that two or more employees have the same
seniority date, the employee with the earliest seniority date in an
affected title shall be deemed to have the greater seniority. Further tie
breaking procedures shall be developed by the Committee and applied
consistently.
(2) Role of the Employment Security Committee
The Committee shall meet at least bimonthly to discuss open issues
related to the redeployment process. Such issues shall include, but not
be limited to: comparability determinations; vacancy availability;
information sharing in hiring and redeployment; dispute resolution,
Civil Service layoff procedures; hardship claims from individual
employees in the redeployment process. The Committee shall also
explore the viability of expanding the redeployment concept to other
reduction in force situations.
(3) Grievability and Dispute Resolution
(a) The application of terms of the Appendix shall be grievable
only up to Step 3 of the provisions of Article 31 (Grievance and
Arbitration Procedure).
(b) Disputes raised to the Step 3 level will be reviewed by the
Employment Security Committee for attempted resolution. If a
decision must eventually be rendered and no resolution is agreed to,
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the decision shall be issued pursuant to the procedures outlined in
Article 31.1(b).
B. EDUCATION STIPEND
(1) Eligibility
(a) The Education Stipend shall solely apply to permanent
employees who are eligible as per Article 21.1, who have agreed to
accept the terms as set forth herein and have been notified of their
acceptance by the State.
(b) Employees who have exercised one of the options described in
Article 21.1(b)(ii), (iii) of the Agreement and related Appendices shall
be ineligible for the Education Stipend set forth herein.
(2) Stipend
An employee may elect to receive an Education Stipend for full
tuition and fees at an educational institution or organization of the
employee's choosing to pursue course work or training offered by such
institution or organization provided, however, that the employee meets
the entrance and/or course enrollment requirements. The maximum
stipend cannot exceed the one-year (two semesters) SUNY tuition
maximum for Resident Graduate Students. Such tuition will be paid by
the State directly to the institution in which the employee is pursuing
course work, subject to certification of payment by the agency.
(3) Health Insurance
A permanent affected employee who elects the Education Stipend
and is separated, shall continue to be covered under the State Health
Insurance Plan at the same contribution rate as an active employee for
one year following such separation or until reemployment by the State
or employment by another employer, whichever occurs first.
(4) Grievability and Dispute Resolution
(a) The application of terms of the Appendix shall be grievable
only up to Step 3 of the provisions of Article 31 (Grievance and
Arbitration Procedure).
(b) Disputes raised to the Step 3 level will be reviewed by the
Employment Security Committee for attempted resolution. If a
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decision must eventually be rendered and no resolution is agreed to,
the decision shall be issued pursuant to the procedures outlined in
Article 31.1(b).
C. SEVERANCE OPTION
(1) Definitions
(a) The terms "affected employee" and "affected employees" shall
refer to those employees of the State of New York who are represented
by District Council 37 and who are subject to redeployment pursuant
to provisions of Article 21.1, unless otherwise indicated herein.
(b) The term "Service" shall mean an employee's State service as
would be determined by the Retirement System, regardless of
jurisdictional class or Civil Service status.
(2) Eligibility
(a) The severance benefits provided by this Severance Option shall
apply solely to permanent employees who are eligible pursuant to
Article 21.1, and
(b) Who have agreed to accept the terms as set forth herein; have
been notified of their acceptance by the State; have executed a
Severance Agreement; and are subject further to the limitations set
forth in Section 2(c) below.
(c) Employees who have declined a primary redeployment
opportunity in county of residence, or county of work location or
exercise one of the options described in Article 21.1(b) (i) or (iii) shall
be ineligible for the severance benefits set forth in this Severance
Option.
(3) Payment Schedule
(a) Other than those covered under (b) below, all affected
employees with at least six (6) months, but less than one year of
service are eligible to receive $2,000 or two weeks' base pay,
whichever is greater.
Each additional year of service will result in a $600 increase per
year to a maximum of $15,000. However, employees in the following
categories will receive the amount specified if that amount exceeds that
which would be otherwise payable:
One year of service, but less
than three years of service.
4 Weeks of Base Pay
Three years of service, but
less than five years of service.
6 Weeks of Base Pay
Five years of service, but less
than ten years of service.
8 Weeks of Base Pay
Ten years of service, but less
than fifteen years of service.
10 Weeks of Base Pay
Fifteen years of service but
less than twenty years of service.
12 Weeks of Base Pay
Twenty or more years of
service.
14 Weeks of Base Pay
(b) Affected employees 50 years of age or over may choose the
schedule in (a) above or the following at their option:
• employees with 10 years of service, but less than 15 are eligible
to receive 20% of base annual salary;
• employees with 15 years of service, but less than 20 are eligible
to receive 30% of base annual salary;
• employees with 20 years of service, but less than 25 are eligible
to receive 40% of base annual salary;
• employees with 25 years of service or more are eligible to
receive 50% of base annual salary.
(4) Payment Conditions
(a) All payments made to affected employees under the Severance
Option shall be reduced by such amounts as are required to be withheld
with respect thereto under all federal, state and local tax laws and
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119
regulations and any other applicable laws and regulations. In addition,
the severance payment made pursuant to Section 3 of this Severance
Option shall not be considered as part of salary or wages for the
purposes of determining State and member pension contributions and
for the purposes of computing all benefits administered by the New
York State Employees' Retirement System.
(b) All payments made to affected employees under this Severance
Option are considered to be one-time payments and shall not be
pensionable. Each affected employee must execute a Severance
Agreement (sample hereto) prior to separation from State service in
order to be eligible to receive said payment.
(c) In no event shall an affected employee who returns to State
service receive severance pay in an amount that would exceed that
which he or she would otherwise have received as base annual salary
during the period of separation from State service. Should the amount
of severance pay exceed the amount of base annual pay otherwise
earned during the period of separation from State service, said
employee shall repay the difference pursuant to the following rules:
(i) Any affected employee who resumes State service shall repay
such excess payments received within one (1) year of the employee's
return to payroll, by payroll deductions in equal amounts.
(ii) Nothing in this Section 4(c) shall affect the State's right to
recover the full amount of the monetary severance payment by other
lawful means if it has not recovered the full amount by payroll
deduction within the time periods set forth herein.
(5)Grievability and Dispute Resolution
(a) The application of terms of the Appendix shall be grievable
only up to Step 3 of the provisions of Article 31 (Grievance and
Arbitration Procedure).
(b) Disputes raised to the Step 3 level will be reviewed by the
Employment Security Committee for attempted resolution. If a
decision must eventually be rendered and no resolution is agreed to,
the decision shall be issued pursuant to the procedures outlined in
Article 31.1(b).
(6) Health Insurance
A permanent affected employee who elects the severance option
and is separated, shall continue to be covered under the State's Health
Insurance Plan at the same contribution rate as an active employee for
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one year following such separation or until reemployment by the State
or employment by another employer, whichever occurs first.
(7) Savings Clause
If any provision of this Severance Option is found to be invalid by
a decision of a tribunal of competent jurisdiction, then such specific
provision or part thereof specified in such decision shall be of no force
and effect, but the remainder of this Severance Option shall continue in
full force and effect.
SAMPLE SEVERANCE AGREEMENT
I hereby apply for the severance benefits as described in the
Severance Option (Appendix E(C)) to the 2016-2021 Collective
Bargaining Agreement) and agree to accept such benefits if my
application is approved by the State of New York. I understand that the
State of New York shall approve applications of all employees who are
eligible to apply for such benefits pursuant to the provisions of Section
21.1 of the 2016-2021 Collective Bargaining Agreement.
I understand that by accepting these severance benefits, I agree to
be bound by the terms and conditions set forth in Appendix E(C),
which is incorporated herein by reference. These terms and conditions
include the following:
I understand that I shall not be required to make any payment on
account of the monetary severance payment and/or any other benefits I
receive pursuant to this agreement into any Retirement or Pension
System or Plan of which I am or may become a member, nor shall any
such payment be permitted.
I understand that the State of New York shall not be required to
make any contribution or payment into any Retirement or Pension
System or Plan of which I am or may hereafter become a member
based upon the monetary severance payment, and/or any other benefits
I receive pursuant to this agreement.
I understand that any monetary severance payment and/or other
benefits paid to me pursuant to this agreement shall not be considered
in computing the amount of benefits or allowances to which I or my
beneficiaries or heirs may be entitled under any Retirement or Pension
System or Plan of which I am or may hereafter become a member.
I understand that, in exchange for my agreement to all the terms
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and conditions set forth in Appendix E(c), the State will do the
following:
The State will pay me a monetary severance payment in the
amount determined in accordance with my length of service, as
described in Appendix E(c).
This written agreement, including Appendix E(c) referenced
herein, contains all the terms and conditions agreed upon by the
parties. In the event that the terms of this agreement conflict with the
2016-2021 Collective Bargaining Agreement between the State and
District Council 37, the terms of the 2016-2021 Collective Bargaining
Agreement shall prevail.
I accept the severance benefits as described in Appendix E(c) to the
2011-2016 Collective Bargaining Agreement between District Council
37 and the State of New York.
Please print:
________________________________
Employee's Name
________________________________
Employee's NYS EMPLID
________________________________
Employee's Agency
________________________________
Employee's Civil Service Title
________________________________
Signed
________________________________
Date
Sworn to before me this
______________date of
______________,
Notary Public
__________________________________
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APPENDIX C - Leave Donation
This Appendix describes the leave donation program applicable to
employees of the Rent Regulation Services Unit. Detailed guidelines
on program administration are contained in Attendance and Leave
Manual Appendix H.
Program Description
The intent of the Leave Donation Program is to provide a means of
assisting employees who, because of long-term personal illness, have
exhausted their accrued leave credits and would otherwise be subject to
a severe loss of income during a continuing absence from work. This
Appendix extends the current provisions of the Leave Donation
Program.
Eligibility Criteria - Donors
In order to donate vacation credits an employee of this unit must:
• have a minimum vacation balance of at least ten days after
making the donation, based on the donor’s work schedule.
Vacation credits which would otherwise be forfeited may not
be donated; and
• donor identity is kept strictly confidential.
Eligibility Criteria - Recipients
In order to receive donated leave credits, an employee of this unit
must:
• be subject to the Attendance Rules or otherwise eligible to earn
leave credits;
• be absent due to a non-occupational personal illness or
disability for which medical documentation satisfactory to
management is submitted as required;
• have exhausted all leave credits;
• be expected to continue to be absent for at least two biweekly
payroll periods following exhaustion of leave credits or sick
leave at half-pay;
• not have had any disciplinary actions or unsatisfactory
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performance evaluations within the employee’s last three years
of State employment.
Donation to and from Employees in Other Units
Employees of this Unit may participate in the voluntary donation or
receipt of accrued vacation credits with employees of other bargaining
units or those designated M/C subject to the following conditions:
Vacation credits may only be donated, received, or credited
between employees who are deemed eligible to participate in
an authorized leave donation program, provided that there are
simultaneously in effect a Leave Donation Exchange
Memorandum of Agreement between the Governor’s Office of
Employee Relations and the employee organizations
representing both the proposed recipient and the proposed
donor, or applicable attendance rules for managerial or
confidential employees, that authorize such donation.
The donations are governed by the provisions of the program
applicable to the donor; receipt, crediting and use of donations
are governed by the provisions of the program applicable to the
recipient.
Restrictions on Donations
Only vacation credits which would not otherwise be forfeited may
be donated. Credits must be donated in full-day units (7.5 or 8 hours).
There is no limit on the number of times an eligible donor may make
donations. Donated credits not used by recipients are returned to the
donor, provided the donor is employed in the same agency as the
recipient. Donated credits from employees outside the agency will
NOT be returned.
There is no maximum number of days which a recipient employee
may accept, provided, however, that donated credits cannot be used to
extend employment beyond the point it would otherwise end by
operation of law, rule or regulation. There is no maximum number of
donors from whom an eligible employee may accept donations.
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An employee’s continuing eligibility to participate in this
program must be reviewed by the agency personnel office at least
every 30 days and more frequently if appropriate, based on current
standards as to what constitutes satisfactory medical documentation.
Use of Donated Credits
Donated credits may be used, at the employee’s option, in full-
day units after exhaustion of all leave credits and prior to sick leave
at half-pay or in either full- or half-day units after exhaustion of sick
leave at half-pay.
An employee who opts to use donated credits prior to sick leave
at half-pay is permitted to again participate in this program following
exhaustion of sick leave at half-pay. Use in full- or half-day units is
based on the recipient employee’s work schedule.
Donations made across agency lines shall be used prior to
donations made within the agency.
Status of Recipient Employees
Recipient employees are deemed to be in leave without pay status
for attendance and leave purposes while charging donated leave
credits. They do not earn biweekly accruals or observe holidays, nor
do they receive personal leave or vacation bonus days if their
anniversary dates fall while using donated leave credits. Time
charged to donated leave credits does not count as service for earning
additional eligibility for sick leave at half-pay.
Employees using donated leave receive retirement service credit
for days in pay status. Health insurance premiums, retirement
contributions and other payroll deductions continue to be withheld
from the employee’s paycheck so long as the check is of an amount
sufficient to cover these deductions.
Solicitations
Donations may be solicited by the recipient employee, on his or
her behalf by coworkers or by local union representatives. The
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employing agency may not solicit donations on the employee’s
behalf.
Administrative Issues
The employing department or agency is responsible for verifying
medical documentation, reviewing eligibility requirements,
approving and processing donations, confirming employee
acceptance of donations and transferring credits. This program is not
subject to the grievance procedure contained in this Agreement.
For purposes of this Appendix, family shall be defined as any
relative or any relative-in-law regardless of place of residence, or any
person with whom the employee makes his or her home.
APPENDIX D - Productivity Enhancement Program
This Appendix describes the Productivity Enhancement Program
(PEP) available to employees in the Rent Regulation Services Unit
(RRSU). Detailed guidelines on program administration will be
issued by the Department of Civil Service.
Program Overview
Eligible employees may elect to participate in the Productivity
Enhancement Program. As detailed below, this program allows
eligible employees to exchange previously accrued annual leave
(vacation) and/or personal leave in return for a credit to be applied
toward their employee share NYSHIP premiums on a biweekly basis.
The program will be available effective July 1, 2018 for calendar
year 2018 and the entire calendar year in 2019, 2020 and 2021.
During each of these years the credit will be divided evenly among
the State paydays that fall between January 1 and December 31.
Disputes arising from this program are not subject to the
grievance procedure contained in this Agreement. This is a pilot
program that will sunset on December 31, 2021 unless extended by
mutual agreement of the parties.
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Eligibility/Enrollment
In order to enroll an employee must:
• be a classified or unclassified service employee in a title
below, or equated to a position below, Salary Grade 25;
• be an employee covered by the 2016-2021 New York
State/DC-37 Collective Bargaining Agreements;
• have a sufficient leave balance to make the full leave
forfeiture at the time of enrollment without bringing their
combined annual and personal leave balances below 8 days;
and
• be a NYSHIP enrollee (contract holder) in either the Empire
Plan or an HMO at the time of enrollment.
• Part-time employees who meet these eligibility
requirements will be eligible to participate on a prorated basis.
Once enrolled for a given year, employees continue to participate
unless they separate from State service or cease to be NYSHIP
contract holders. Leave forfeited in association with the program will
not be returned, in whole or in part, to employees who cease to be
eligible for participation in the program.
During any calendar year in which an employee participates, the
credit established upon enrollment in the program will be adjusted
only if the employee moves between individual and family coverage
under NYSHIP during that calendar year.
With the exception of calendar year 2014, open enrollment will
be offered during the month of November of each year PEP is
offered. The exact dates of open enrollment will be established by
the Department of Civil Service. Employees will be required to
submit a separate enrollment for each calendar year in which they
wish to participate.
Calendar Year 2018
Full-time employees, up to and including SG-17 (or non-statutory
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employees with an annual salary no greater than the job rate of SG-17),
who enroll in the program will be eligible to forfeit a total of either 3
or 6 days of annual and/or personal leave standing to their credit at the
time of enrollment in return for a credit of up to either $500 or $1,000
to be applied toward the employee share of NYSHIP premiums and
deducted from biweekly paychecks. The credit will be divided evenly
among the State paydays that fall between January 1, 2018 or as soon
as practicable thereafter and December 31, 2018.
Full-time employees in SG-18 (or non-statutory employees equated
to SG-18, or in the absence of that, employees with an annual salary
exceeding the job rate of SG-17) up to and including SG-24 (or non-
statutory employees with an annual salary no greater than the job rate
of SG-24), who enroll in the program will be eligible to forfeit a total
of 2 or 4 days of annual and/ or personal leave standing to their credit
at the time of enrollment in return for a credit of up to either $500 or
$1,000 to be applied toward the employee share of NYSHIP premiums
deducted from bi-weekly paychecks. This credit will be divided evenly
among the State paydays that fall between January 1, 2018 or as soon
as practicable thereafter and December 31, 2018.
Calendar Years 2019-2021
Full-time employees in Salary Grades 1-17 (or non-statutory
employees with an annual salary no greater than the job rate of SG-
17) who enroll in this portion of the program will forfeit a total of 3
or 6 days of annual and/or personal leave standing to their credit at
the time of enrollment in return for a credit of up to $600 or $1,200
respectively, to be applied toward the employee share of NYSHIP
premiums deducted from biweekly paychecks in that year. The
credit will be divided evenly among the State paydays that fall
between January 1, 2019 and December 31 of each year the
employee elects to enroll.
Full-time employees in Salary Grades 18 (or non-statutory
employees equated to SG-18, or in the absence of that, employees
with an annual salary exceeding the job rate of SG-17) to 24 (or non-
statutory employees with an annual salary no greater than the job rate
of SG-24) who enroll in this portion of the program will forfeit a
total of 2 or 4 days of annual and/or personal leave standing to their
credit at the time of enrollment in return for a credit of up to $600 or
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$1,200 respectively, to be applied toward the employee share of
NYSHIP premiums deducted from biweekly paychecks in each year.
This credit will be divided evenly among the State paydays that fall
between January 1 and December 31 of each year the employee
elects to enroll.
APPENDIX E Voluntary Reduction in Work Schedule
PROGRAM GUIDELINES
Introduction
Voluntary Reduction in Work Schedule (VRWS) is a program that
allows employees to voluntarily trade income for time off. The VRWS
program is available to eligible annual-salaried employees in the Rent
Regulation Services Unit (RRSU). Individual VRWS agreements may
be entered into for any number of payroll periods up to a maximum of
26 biweekly pay periods in duration and must expire at the end of the
last payroll period in the fiscal year.
(1) Purposes
(a) VRWS provides agencies with a flexible mechanism for
allocating staff resources.
(b) VRWS permits employees to reduce their work schedules to
reflect personal needs and interests.
(2) Limitations: Eligibility, Work Schedule Reduction, Terms of
VRWS
(a) Eligibility: This program is available to certain annual-salaried
employees in the RRSU
Employees are required to be employed to work on a full-time
annual-salaried basis for a minimum of one biweekly payroll period
immediately prior to the time of entry into the VRWS Program. Time
on paid or unpaid leave from a full-time annual salaried position
satisfies this requirement
and
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Employees must remain in a full-time annual-salaried position
during the term of the VRWS agreement
and
Employees must have one continuous year of State service on a
qualifying schedule (any schedule which entitled the employee to earn
leave credits, not necessarily a full-time schedule).
Consistent with the way in which creditable service is counted
under the Attendance Rules, separations of less than one year and
periods of leave without pay of any duration are not counted toward
the one-year service requirement but do not constitute a break in
service. Employees who separate from State service (through
resignation, termination, layoff, etc.) for more than one year cannot
count service preceding that break in service toward the one-year
requirement (unless the employee is reinstated by the Civil Service
Commission or Department or appointed while on a preferred list)
Payroll periods of VRWS participation, Sick Leave at Half-Pay, or
Workers’ Compensation Leave and time on the Leave Donation
Program will count toward the one-year service requirement.
(b) Work Schedule Reduction: Participating employees may reduce
their work schedules (and salaries) a minimum of 5 percent, in 5
percent increments, up to a maximum of 30 percent.
(c) Term of VRWS Program: Effective with the first full biweekly
payroll period in October 2000, the VRWS program will commence
for employees in the RRSU.
(3) Description of an Employee VRWS Agreement
(a) An employee develops a plan for a reduced work schedule.
(b) Management reviews and approves the plan as long as it is
consistent with operating needs.
(c) Jointly agreed plan specifies:
(1) Duration of VRWS agreement which may be up to a maximum
of 26 biweekly payroll periods with the VRWS agreement
expiring the last day of the last payroll period in the fiscal year.
(2) Percentage reduction of work schedule and salary.
(3) Amount of VR time earned in exchange for reduced salary.
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(4) Schedule for use of VR time earned. This may be either a fixed
schedule, e.g., every Friday, every Wednesday afternoon, an
entire month off, etc., or intermittent time off.
(i) An employee's fixed schedule VR time off, once the VRWS
schedule has been agreed upon by management, cannot be
changed without the consent of the employee except in an
emergency. In the event an employee's schedule is changed
without his or her consent, the employee may appeal this action
through an expedited grievance procedure.
(ii) VR time used as intermittent time off will be subject to scheduling
during the term of the VRWS agreement, and will require advance
approval by the employee's supervisor.
(d) While the VRWS agreement is in effect, the employee will
earn and accumulate VR credits in accordance with the percentage
reduction in work week, e.g., a ten (10) percent reduction will
result in 7.5 or 8 hours of VR credit earned each payroll period
which the employee will charge on his or her scheduled VR
absences. If the employee's VRWS schedule calls for one-half day
off every Friday afternoon, 3.75 or 4 hours of VR credits will be
charged for each Friday. An employee whose VRWS agreement
calls for a ten (10) percent reduction and taking an entire month off
will work his or her full 37.5 or 40 hours each week, accrue 7.5 or
8 hours of VR credit each payroll period, and have the accumulated
VR credits to use during that month.
(e) The employee never goes off the payroll. The employee
remains in active pay status for the duration of the agreement and
receives pay checks each payroll period at the agreed-upon,
temporarily reduced level.
(f) The employee will work a prorated share of his or her normal
work schedule over the duration of the agreement period.
(g) Participation in the VRWS program will not be a detriment to
later career moves within the agency or the State.
(h) Scheduled non-work time taken in accordance with a VRWS
agreement shall not be considered to be an absence for the purpose
of application of Section 4.5(f) of the Civil Service Rules
governing probationary periods.
(4) Time Limits
The employee and management can establish a VRWS agreement
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on a fiscal year basis of any number of payroll periods in duration from
one (1) to twenty-six (26). The VRWS contract must expire the last
day of the last payroll period in the fiscal year. The VRWS agreement
must begin on the first day of a payroll period and end on the last day
of a payroll period. VRWS ending balances must be segregated for
each fiscal year. The employee and management may, by agreement,
discontinue or modify the VRWS agreement if the employee's needs or
circumstances change.
(5) Time Records Maintenance
(a) All VRWS schedules will be based on the crediting and
debiting of VR credits on the employee's time card against a regular
37.5 or 40 hour workweek.
(b) VR credits earned during an agreement may be carried on the
employee's time card past the end of the individual VRWS agreement
and past the end of the fiscal year but must be liquidated by September
30 following the end of the fiscal year in which the individual VRWS
agreement expires. VRWS ending balances must be segregated for
each fiscal year.
(c) There is no requirement that existing paid leave credits
(including previously earned and banked VR credits) be exhausted
prior to the beginning of the new VRWS agreement. However,
agencies should encourage employees to use carried-over VR credits
on a priority basis.
(6) Advancing of VR Credits; Recovering a VR Credit Debit
(a) To accommodate an employee whose VRWS agreement calls
for an extended absence during the agreement period, an agency may
advance VR credits in an amount not to exceed the number of hours
for which the employee is paid in one payroll period.
(b) If an employee terminates his or her employment and has a VR
debit, the agency shall recover the debit from the employee's lagged
salary payment for his or her last payroll period at work.
(7) Coordination with Alternative Work Schedules
It is possible to coordinate VRWS agreements with Alternative
Work Schedule arrangements when desired by the employee and
consistent with operating needs. For example, a VRWS agreement may
be combined with four-day week scheduling for a 37.5 hour/week
employee by the employee opting for a ten (10) percent reduction to
produce a workweek of 3 days of 8.5 hours and 1 day of 8.25 hours.
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Such a schedule would generate savings for the employee of
commuting expenses, child care costs, etc. An alternative work
schedule which applies to a single employee is considered to be an
individualized work schedule and does not require approval through
the normal Alternative Work Schedule approval process.
(8) Effect on Benefits and Status
The effect of participation in the VRWS program on benefits and
status is outlined in Appendix A (attached).
(9) Effect on Overtime Payment for Overtime Eligible
Employees
Scheduled absences charged to VR credits, unlike absences
charged to leave credits, are not the equivalent of time worked for
purposes of determining eligibility for overtime payments at premium
rates within a workweek. For example, an employee who, under an 80
percent VRWS schedule, works four (4) days, charges the fifth day to
VR credits, and is called in to work a sixth day, will not be considered
to have worked the fifth day and thus will not be entitled to premium
rate payments on the sixth day. Similarly, VR credits earned, banked
and charged after the payroll period in which they are earned are not
counted in determining eligibility for overtime in the workweek in
which they are charged. However, employees who work full time at
reduced salary and bank VR credits who, as the result of working and
charging leave accruals other than VR credits, exceed their normal
37.5 or 40-hour workweek continue to be eligible for overtime
compensatory time and paid overtime in that workweek as appropriate.
Sections 135.2(h) and (i) of Part 135 of the Budget Director's
Overtime Rules are waived to the extent necessary to permit payment
of overtime compensation to overtime-eligible employees who are
participating in this program.
(10) Discontinuation or Suspension of VRWS Agreements
Although VRWS agreements are for stated periods of time, they
can be discontinued by mutual agreement at the end of any payroll
period. VR agreements may be discontinued, at management
discretion, when an employee is promoted, transferred or reassigned
within an agency, facility or institution, although VR credits must be
carried forward on the employee’s time record.
VR agreements may also be discontinued when an employee
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moves between agencies or between facilities or institutions within an
agency. (See Provisions for Payment of Banked (unused) VR Time in
Exceptional Cases below.)
Employees who go on sick leave at half-pay for 28 consecutive
calendar days, who receive leave donation credits for 28 consecutive
calendar days or who are absent because of a work-related injury or
illness for 28 consecutive calendar days will have their VRWS
agreement suspended and be returned to their normal full-time work
schedule and pay base. VR agreements are suspended on the day
employees begin to receive Short Term Disability (STD) or Long Term
Disability (LTD) benefits under the Income Protection Plan.
Suspension of a VR agreement does not extend the agreement beyond
its scheduled termination date. If the employee returns to work prior to
the scheduled termination date of the VR agreement, the employee’s
participation in the VR agreement resumes and continues until the
scheduled termination date, unless both parties agree to terminate the
agreement.
(11) Provisions for Payment of Banked (Unused) VR Time in
Exceptional Cases
The VRWS program is intended to be a program that allows
employees to voluntarily trade income for time off. The agreement for
program participation between the employee and management includes
a plan for the use of VR time earned. Management must make every
effort to ensure that VR time earned by an employee is used (1) under
the terms of the individual VRWS agreement, (2) before the September
30th liquidation date (see section 5(b)), (3) before the employee
separates from State service, and (4) while the employee is on the job
he or she was in when the VRWS program agreement was made. If this
is not possible, payment for banked (unused) VR time may be made in
exceptional cases that fall under the following criteria:
(a) Upon layoff, resignation from State service, termination,
retirement or death, unused VR time will be paid at the then current
straight time rate of pay.
(b) Upon movement of an employee from one agency to another or
between facilities or institutions within an agency, unused VR time
will be paid at the then current straight time rate of pay by the agency
or facility/institution in which the VR time was earned, unless the
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employee requests and the new agency or facility/institution accepts
the transfer of the VR time on the employee's time card. The lump sum
payment for VR balances upon movement to another agency or
facility/institution will be made irrespective of whether or not the
employee is granted a leave of absence from the agency where the VR
time was earned. Payment will be made within two payroll periods
following the move to the new agency/facility/institution.
(c) VRWS ending balances must be segregated for each fiscal year.
Employees who accumulate VR time in a fiscal year and who are
unable to use the VR time by the applicable September 30 liquidation
date due to management requirements predicated on workload will be
paid at the then current straight time rate of pay. Payment will be made
within two payroll periods following the applicable September 30
liquidation date. Requests for payment in these exceptional cases
described in this subparagraph, as distinct from those specified in
subparagraphs (a) and (b) above, should be directed to GOER
Research Division-VRWS Program and will be decided on a case-by-
case basis.
In all cases where payment for unused VR time is made,
notification of payment must be sent to GOER Research Division
VRWS Program. Such notification must include date of payment,
circumstances of payment, employee's name, title, number of hours in
the employee's normal workweek (37.5 or 40), number of days of
unused VR time, daily rate of pay, and gross dollar amount of
payment. In addition, agencies must certify that they have not already
used these savings for replacement staff in other programs or, if they
have, identify another funding source for the payment.
(12) Review of VRWS Denials
(a) Individual Requests
An employee whose request to participate in the VRWS program
has been denied shall have the right to request a written statement of
the reason for the denial. Such written statement shall be provided
within five (5) working days of the request. Upon receipt of the written
statement of the reason for the denial, the employee may request a
review of the denial by the agency head or the designee of the agency
head. Such requests for review must be made, and will be reviewed, in
accordance with the following procedure:
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(1) Requests must be submitted by the employee or the employee's
representative within ten (10) working days of receipt of the written
statement or of the date when the written statement was due.
(2) Requests must be submitted to the official who serves as the
agency head's designee at Step 2 of the grievance procedure.
Employees of facilities must concurrently provide a copy of such
request to the facility head.
(3) Such requests shall specify why the employee believes the
written reasons for the denial are improper. The request must explain
how the employee believes his or her work can be reorganized or
reassigned so that his or her participation in the VRWS program will
not unduly interfere with the agency's program operations.
(4) The designee of the agency head shall review the appeal and
make a determination within ten (10) working days of receipt. The
determination shall be sent to the employee and a copy shall be sent to
the President of DC-37. The determination shall be based on the
record, except that the agency head's designee may hold a meeting with
the employee and/or the employee's supervisors if the designee
believes additional information or discussion is required to make a
determination. If the employee believes that there are special
circumstances that make a meeting appropriate, the employee may
describe these circumstances in addition to providing the information
specified in paragraph 3 above, and request that a review meeting be
held. The agency head's designee shall consider such request in
determining whether or not to hold a review meeting.
(5) The determination of the agency head's designee shall not be
subject to further appeal.
(b) Facility-Wide or Agency-Wide Practices
When DC-37 alleges that an agency or a facility, or a sub-division
thereof, has established a practice of routinely denying employee
applications to participate, this matter shall be an appropriate subject
for discussion in a labor/management committee at the appropriate
level. Such labor/management discussions shall be held in accordance
with Article 23 of the Agreement.
(13) Exceptions
The restrictions and limitations contained in these Program
Guidelines may be waived by the Governor's Office of Employee
Relations whenever that Office determines that strict adherence to the
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guidelines would be detrimental to the sound and orderly
administration of State government.
Effect on Benefits and Status
Annual Leave - Prorate accruals based on the employee's VRWS
percentage.
Personal Leave - Prorate credits based on the employee's VRWS
percentage.
Sick Leave at Full Pay - Prorate accruals based on the employee's
VRWS percentage.
Holidays - No change in holiday benefit.
Sick Leave at Half-Pay - There is no impact on eligibility or
entitlement. Employees who go on sick leave at half-pay for 28
consecutive calendar days will have their VRWS agreement suspended
and be returned to their normal full-time work schedule and pay base.
Workers' Compensation Benefits - There is no impact on eligibility
for entitlement to workers' compensation benefits pursuant to rule or
contract. Following 28 consecutive calendar days of absence due to a
work-related injury or illness, the VRWS agreement is suspended and
the employee is returned to his or her normal full time work schedule
and pay base. (See subsection 10 above)
Disability under the Income Protection Plan - An employee’s
VRWS agreement is automatically suspended on the day the employee
begins receiving STD/LTD benefits.
Leave Donation - Employees who are absent using donated leave
credits for 28 consecutive calendar days will have their VRWS
agreement suspended.
Military Leave - No impact on eligibility or entitlement.
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Jury-Court Leave - No impact on eligibility or entitlement.
Paid Leave Balances on Time Card - There is no requirement that
leave credits be exhausted prior to the beginning of the VRWS
agreement. Vacation, sick leave and holiday balances are carried
forward without adjustment; the personal leave balance is prorated.
Shift Pay - Prorate.
Inconvenience Pay - Prorate.
Location Pay - Prorate.
Geographic Pay - Prorate.
Pre-Shift Briefing - Prorate.
Standby Pay - No impact.
Salary - Normal gross salary earned is reduced by the percentage of
voluntary reduction in work schedule. There is no effect on the base
annual salary rate.
Payroll - The employee never leaves the payroll. An employee
remains in full payroll status with partial pay for the duration of the
agreement period and receives pay checks each pay period at the
agreed upon temporarily reduced level.
Return to Normal Work Schedule - An employee will return to his
or her normal full-time work schedule and pay basis upon completion
of the VRWS agreement period.
Banked (Unused) VR Time Upon Return to Normal Work
Schedule - VR time credits may be carried forward on the
employee's time card after completion of the individual VRWS
agreement period but must be liquidated by the September 30 after the
end of the fiscal year in which the employee's individual agreement
expires. VRWS ending balances must be segregated for each fiscal
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year.
Banked (Unused) VR Time Upon Separation - Unused VR time
credits will be paid at the straight time rate upon layoff, resignation
from State service, termination, retirement or death.
Banked (Unused) VR Time Upon Promotion, Transfer or
Reassignment Within an Agency or Within a Facility or Institution -
Unused VR time credits are carried forward on the employee's time
card when movement is within an appointing authority. Continuation
of the VRWS program agreement is at the discretion of management.
Banked (Unused) VR Time Upon Movement From One Agency to
Another or Between Facilities or Institutions Within an Agency -
Unused VR time credits will be paid at the straight time rate by the
agency or facility/institution in which the VR time was earned, unless
the employee requests and the new agency or facility/institution
accepts the transfer of VR time on the employee's time card.
Health Insurance - No effect; full coverage.
Dental Insurance - No effect; full coverage.
Employee Benefit Fund - No effect.
Survivor's Benefit - No effect.
Retirement Benefit Earnings - Participation will reduce final
average salary if the VRWS period is included in three (3) years of
earnings used to calculate final average salary.
Retirement Service Credit - Prorate.
Social Security - There is no change in the contribution rate, which
is set by Federal Law and applied to the salary that the employee is
paid.
Unemployment Insurance - No change; formula set by statute.
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Performance Advance or Increment Advance - Evaluation date is
not changed; no change in eligibility.
Performance Award or Lump Sum Payment - No impact; no
change in eligibility.
Longevity Increase - No change in eligibility.
Probationary Period - No effect; scheduled non-work time under a
VR agreement is not an absence for this purpose.
Traineeship - No effect; traineeships are not extended by scheduled
non-work time under a VR agreement.
Layoff - No impact; seniority date for layoff purposes is not
changed.
Seniority - No impact; employee never leaves the payroll; seniority
date is not changed; full seniority credit is earned.
Seniority for Promotion Examinations - No impact; VR time used
shall be counted as time worked in determining seniority credits for
promotion exams.
Eligibility for Promotion Examinations - No impact; VR time used
shall be counted as time worked in determining eligibility for
promotion exams.
Eligibility for Open Competitive Examinations - Prorate; VR time
used shall not be considered time worked for determining length of
service for open competitive examinations.
Overtime Work - VR time used shall not be counted as time
worked in determining eligibility for overtime payments at premium
rates within a workweek.
NOTES